The Inclusion of Public Participation in Environmental Impact Assessment in Guangdong Province Supervisor: Henning Schroll

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1 The Inclusion of Public Participation in Environmental Impact Assessment in Guangdong Province Supervisor: Henning Schroll By Group 901, K2 Jon Munch-Petersen Technological and Social-Economic Planning (TekSam) Spring Semester (2013) Roskilde University 1

2 Summary This report is about public participation in Environmental Impact Assessment for construction projects in Guangdong Province in Southern China: How are people included, when are people included and who of the people are included? In China, it has been noted that the quality of the environment has weakened considerably at the expense of the economic recovery over the past 40 years. Especially Guangdong Province is an economic centre in China where many of China's construction projects are happening, with substantial health and economic consequences for local populations, which has led to public debates on these issues. In 2007, a new law for the inclusion of the public in EIA got implemented in China, so that now, for the first time in China's history, clear rules for inclusion and cooperation with the public within the planning area are set. In order to illustrate the degree of public involvement international experience with EIA is read and Sherry R. Arnsteins theory, which categorizes public involvement, is used as a reference to the findings in the report. Based on interviews with Chinese EIA experts and participation in an EIA fieldwork a theoretical frame has been designed for the inclusion of the public in EIA in Guangdong Province. This frame is compared with experiences from local testimonies in two villages (3 interviews), to see if local citizens experience EIA processes in line with the theoretical frame and further more to identify the kinds of conflicts that arise during the EIA process in Guangdong province. The results in this report show that local citizens in Guangdong province are included very late in the EIA process, at a point when the project design already is established and where new ideas poorly can be incorporated. Information disclosed to local citizens is sparse and leaves little opportunity for citizens to relate critically to the projects. In relation to international experience, the degree of inclusion in Guangdong Province is low. Testimonies from citizens shows that one village saw no inclusion to great dissatisfaction to the citizens, while another village saw the inclusion corresponding to that described in the theoretical frame. 2

3 Resume Denne rapport handler om offentlig inddragelse i VVM redegørelser for byggeprojekter i Guangdong provinsen i Sydkina: Hvordan inkluderes offentligheden, hvor meget og hvem inkluderes? I Kina er man blevet opmærksom på, at kvaliteten af miljøet er blevet svækket betydeligt på bekostning af det økonomiske opsving gennem de sidste 40 år. Især Guangdong provinsen er et økonomisk centrum i Kina og her opføres derfor en stor del af Kinas mange byggeprojekter. Disse byggeprojekter har omfattende helbredsmæssige og økonomiske konsekvenser for lokalbefolkninger, hvilket har ført til offentlige debatter om disse problematikker. I 2007 blev en ny lov forskrift for inkludering af offentligheden i VVM redegørelser implementeret i Kina, hvorfor der nu, for første gang i Kinas historie, eksisterer klare regler for inklusion og samarbejde med offentligheden indenfor planlægningsområdet. For at belyse graden af offentlig inddragelse er internationale erfaringer med VVM arbejde læst og Sherry R. Arnsteins teori, som kategoriserer offentlig inddragelse, er tilmed brugt som reference til resultaterne i rapporten. Ud fra interviews med kinesiske VVM eksperter og deltagelse i en VVM redegørelse er en teoretisk frame blevet designet for inklusion af offentligheden i VVM i Guangdong provinsen. Denne frame er sammenholdt med erfaringer fra lokale vidnesbyrd i to landsbyer (3 interviews), for at se om de lokale borgere erfarer VVM redegørelserne i linie med den teoretiske frame og tilmed hvilke konflikter der opstår under VVM redegørelsen i Guangdong provinsen. Resultaterne i denne rapport viser, at lokal befolkninger i Guangdong provinsen først inkluderes meget sent i VVM redegørelsen, på et tidpunkt hvor projektets design allerede er fastlagt og hvor nye ideer kun i ringe grad kan inkorporeres. Information til lokal befolkningen er sparsom og efterlader lille mulighed for at borgerne kan forholde sig til kritisk til projekterne. I forhold til internationale erfaringer, ligger graden af inklusion i Guangdong provinsen lavt. Erfaringer fra borgerne viser, at en landsby ingen inklusion oplevede overhovedet til stor utilfredshed for borgerne, mens en anden landsby oplevede inklusion som beskrevet i den teoretiske frame. 3

4 Table and Content FIGURES AND TABLES 6 ABBREVIATION LIST 8 CONCEPTUAL CLARIFICATIONS 8 PERSONNEL GALLERY 9 1. PROBLEM AREA Problem Formulation Research Questions Motivation Project Design METHOD Final schedule for empirical gathering Interviews Observations Limitation and validation EIA Presentation of the concept of EIA Summary PUBLIC PARTICIPATION Public participation in EIA Ladder of Citizen Participation Summary EIA IN THE PEOPLES REPUBLIC OF CHINA 30 4

5 5.1. EIA laws and procedures in China EIA administration in The Peoples Republic Of China Local approaches Summary CASE PRESENTATIONS OEIA PEIA Summary THEORETICAL FRAMEWORK FOR EIA IN GUANGDONG PROVINCE ANALYSIS When How Who Degree of public participation CONCLUSION 68 REFERENCES 71 APPENDICES 74 5

6 Figures and Tables FIGURE 1: THE DESIGN OF THE PROJECT FIGURE 2: SHOWING THE EIA PROCESS ACCORDING TO UNEP. THE EIA PROCESS BEGINS AFTER IT HAS BEEN DECIDED, THROUGH THE SCREENING PROCESS, THAT AN ACTUAL EIA IS REQUIRED. HEREAFTER FOLLOWS THE OPERATIONAL STAGES ENDING WITH THE DECISION-MAKING AUTHORITY EITHER PROVING OR DISPROVING THE PROJECT. PP IS NORMALLY FOCUSED MAINLY ON THE SCOPING AND THE REVIEW STAGE. AN EXPLANATION OF ALL STAGES IS SHOWN IN APPENDIX L (UNEP 2002; 114) FIGURE 3: SHOWING THE LATTER OF CITIZEN PARTICIPATION THAT DIVIDES PP INTO 3 CATEGORIES AND 8 RUNGS. NON- PARTICIPATION IS THE CATEGORY REPRESENTING THE LEAST DEGREE OF PARTICIPATION, WHILE TOKENISM AND CITIZEN POWER, REPRESENT HIGHER DEGREES OF PARTICIPATION, WITH THE CITIZEN POWER BEING THE MOST PARTICIPATIVE (ARNSTEIN SR 2004; 2) FIGURE 4: SHOWING THE INSTITUTIONAL SETUP IN RELATION TO EIA WITHIN CHINA. SEPA (STATE ENVIRONMENTAL PROTECTION AGENCY), WHICH HAS BEEN RENAMED TO MEP (MINISTRY OF ENVIRONMENTAL PROTECTION), IS THE CENTRAL STATE MINISTRY, WHILE THE EPB S OPERATE ON REGIONAL LEVEL, WITH IMPLEMENTATION OF THE LEGISLATIONS SET BY SEPA/MEP (WANG Y ET AL., 2003; 552) FRAME: SHOWING THE EIA FRAME OF WHICH THE EIA-TEAM, INVESTIGATED IN THIS REPORT, WORK FROM. IT IS NOT PRECISELY DEFINED WHEN PP SHOULD BE IMPLEMENTED, BUT IT SHOULD BE IMPLEMENTED IN ALL THREE STAGES (TAKEN FROM POWER POINT PRESENTATION GIVEN THE 16TH OF MAY AT THE INSTITUTE OF ENVIRONMENTAL SCIENCE, ZHONGSHAN UNIVERSITY) PICTURE 1: MAP SHOWING GUANGDONG PROVINCE, WHERE ALL EMPIRICAL DATA WAS GATHERED: INTERVIEWS WITH TWO EIA-EXPERTS WAS MADE GUANGZHOU CITY; INTERVIEWS WITH TWO HYDROPOWER STATION LEADERS AND TWO FAMILIES LIVING IN A FISHING VILLAGE WAS MADE IN SHAOGUAN AREA IN THE VERY NORTH OF GUANGDONG PROVINCE; ONE INTERVIEW WAS MADE WITH A VILLAGE LEADER IN ZHONGSHAN AREA, SOUTH OF GUANGZHOU; AUTHOR ATTENDED ONE EIA FIELDWORK INVESTIGATION ON A PLANED HIGHWAY CONSTRUCTION STRETCHING 100 KM WEST FROM GUANGZHOU CITY, THROUGH FOSHAN CITY AND ENDING ZHAOQING CITY (ORIGINAL PICTURE IS DOWNLOADED FROM CHINA HIGHLIGHTS 2012; ZHAOQING, FOSHAN AND ZHONGSHAN CITY HAVE BEEN ADDED TO THE MAP BY THE AUTHOR 2013) PICTURE 2: SHOWING GUANGDONG PROVINCE AND THE LOCATIONS OF THE CASES. THE EIA S INVESTIGATED AT THE HYDROPOWER STATIONS AND AT THE FISHING VILLAGE, WAS DONE IN SHAOGUAN AREA AND THE INTERVIEW WITH THE VILLAGE LEADER WAS DONE IN BEIWAI VILLAGE CLOSE TO ZHONGSHAN CITY. THESE INTERVIEWS COMPOSE PEIA. THE OEIA WAS INVESTIGATED AT THE PLANED HIGHWAY CONSTRUCTION IN THE AREA STRETCHING 100 KM WEST OF GUANGZHOU CITY BETWEEN THIS CITY, FOSHAN AND ZHAOQING CITY (THE ORIGINAL MAP IS DOWNLOADED FROM NIHMP 2012; THE LACTATION OF THE EIA S IS ADDED BY THE AUTHOR 2013) PICTURE 3: SHOWING THE HIGHWAY CONSTRUCTION (OEIA) MARKED WITH A THICK RED LINE. THE HIGHWAY IS STRETCHING FROM GUANGZHOU CITY THROUGH FOSHAN AND ENDING ZHAOQING 100 KM. BEIJIANG RIVER IS SEEN GOING THROUGH THE HIGHWAY CONSTRUCTION (PICTURE ED TO THE AUTHOR BY TEACHER SOPHIE 2013) PICTURE 4: MANY HIGHWAYS MADE IT DIFFICULT TO FIND THE EXACT LOCATION OF THE PLANED HIGHWAY CONSTRUCTION. BY USING GPS AND MAP, THE EIA-TEAM FOUND THE LOCATION. THE BUILDING SEEN TO THE RIGHT IS A RESIDENTIAL HOUSE AND THEREFOR TO CLOSE TO THE HIGHWAY RECONSTRUCTION. THE RESIDENTS OF THE HOUSE WILL, ACCORDING TO THE EIA-TEAM, BE INCLUDED IN THE PP PART OF THE EIA, AS THE HOUSE HAS TO BE REMOVED (PICTURE WAS TAKEN BY THE AUTHOR IN THE OUTSKIRTS OF FOSHAN CITY 2013) PICTURE 5: SHOWING SHAOGUAN AREA, WITH SHAOGUAN CITY CONCENTRATED AROUND THE UNIFICATION OF WUJIANG AND ZHENGJIANG RIVERS. LISHI FISHING VILLAGE (WHERE TWO INTERVIEWS WITH FISHING FAMILIES WAS CARRIED OUT) IS LYING 3,2 KM NORTH OF YIZHOU FISHING VILLAGE, WHICH HAS HAD TREMENDOUS EFFECT ON THE LIVELIHOOD OF THE VILLAGERS OF LISHI FISHING VILLAGE. MENGZHOU HYDROPOWER STATION IS LOCATED SOUTH OF SHAOGUAN CITY ON THE BEIJIANG RIVER (GOOGLE MAPS 2013) PICTURE 6: WAS TAKEN DURING THE MEETING AT THE CONFERENCE HALL AT YIZHOU HYDROPOWER STATION. THE TWO HYDROPOWER STATION LEADERS SIT AT THE VERY LEFT OF THE PICTURE, ON THE SAME SIDE OF THE TABLE AS THE AUTHOR AND PROFESSOR LUO SHIMING. ON THE OTHER SIDE OF THE TABLE MOST FORWARD IN THE PICTURE SITS THE REPRESENTATIVE FROM SHAOGUAN EPB, THEN PROF. CAI FROM SOUTH CHINA AGRICULTURAL UNIVERSITY AND LASTLY ANOTHER REPRESENTATIVE FROM YIZHOU HYDROPOWER STATION (PICTURE TAKEN BY PROF. KONG 2013)

7 PICTURE 7: TWO OF THE FIVE PEIA CASES VISITED - YIZHOU HYDROPOWER STATION LOCATED SOUTH ON THE PICTURE AND LISHI FISHING VILLAGE 3.32 KM UPSTREAM FROM THE HYDROPOWER STATION. YIZHOU HYDROPOWER LIES ON THE WUJIANG RIVER 6 KM NORTHWEST OF SHAOGUAN CITY (GOOGLE MAPS 2013) PICTURE 8: SHOWING LISHI FISHING VILLAGE LOCATED 3.32 KM UPSTREAM FROM YIZHOU HYDROPOWER STATION (E- MAILED TO THE AUTHOR BY PROF. LUO SHIMING 2013) PICTURE 9: SHOWING THE FRONT OF ONE OF THE FISHING FAMILIES HOME IN LISHI FISHING VILLAGE. THE PICTURE WAS TAKEN RIGHT AFTER THE INTERVIEW WAS DONE. TO THE VERY LEFT ARE PROF. CAI AND THEN PROF. LUO SHIMING FROM SOUTH CHINA AGRICULTURAL UNIVERSITY. THE GRANDFATHER IS HOLDING THE CHILD AND THE GRANDMOTHER IS STANDING NEXT TO THE AUTHOR TO THE VERY RIGHT (PICTURE IS TAKEN BY PROF. KONG 2013) PICTURE 10: WAS TAKEN RIGHT AFTER THE MEETING AT THE CONFERENCE HALL AT MENGZHOU HYDROPOWER STATION. TO THE VERY LEFT IS THE REPRESENTATIVE FROM SHAOGUAN EPB, THEN THE OWNER OF MENGZHOU HYDROPOWER STATION, THE AUTHOR, PROF. LUO SHIMING, THE OTHER OWNER OF MENGZHOU HYDROPOWER STATION AND THEN PROF. CAI ON THE VERY LEFT (PICTURE IS TAKEN BY PROF. KONG 2013) PICTURE 11: SHOWING THE ACTUAL QUESTIONNAIRE FOR PP DURING THE INTERIM EIA PROCESS ON MENGZHOU HYDROPOWER STATION COMMENCED AFTER 2007 (PICTURE TAKEN BY PROF. KONG 2013) PICTURE 12: SHOWING THE LOCATION OF BEIWAI VILLAGE MARKED WITH RED ARROW APPROXIMATELY 15 KM NORTH OF ZHONGSHAN CITY PICTURE 13: SHOWING THE HOUSES OF BEIWAI VILLAGE (PICTURE WAS ED TO THE AUTHOR BY TEACHER MAI 2013) PICTURE 14: SHOWING THE FOREST BEHIND BEIWAI VILLAGE, WHICH IS SACRED TO THE CITIZENS. THE HIGHWAY WAS ORIGINALLY SCHEDULED TO GO THROUGH THIS AREA, BUT, THROUGH THE EIA PROCESS, THE VILLAGERS COMPLAINED RESULTING IN A RELOCATION OF THE HIGHWAY (PICTURE ED TO THE AUTHOR BY TEACHER MAI 2013) PICTURE 15: SHOWING THE ORIGINAL LOCATION OF THE HIGHWAY (BELOW, VAGUELY MARKED) AND THE NEW LOCATION (ABOVE, CLEARLY MARKED). INITIALLY THE HIGHWAY WAS SITUATED THROUGH THE FOREST OF WHICH IS IMPORTANT TO THE VILLAGERS OF BEIWAI VILLAGE. THE NEW LOCATION IS 200 METER NORTH, BUT WILL GRADUALLY JOIN THE ORIGINAL COURSE OF THE HIGHWAY, AFTER THE FOREST AREA IS PAST (PICTURE WAS E- MAILED TO THE AUTHOR BY TEACHER MAI 2013) TABLE 1: SHOWING THE TRANSLATED VERSION OF THE QUESTIONNAIRE FOR PP AT MENGZHOU HYDROPOWER STATION (PICTURE 12). IN THE VERY TOP OF THE DOCUMENT THE RESPONSIBLE EIA-TEAM IS LISTED: AGRICULTURAL BUREAU OF ZHENGJIANG REGION. BELOW IS THE LOCATION OF VILLAGE STATED RIGHT ABOVE THE PERSON S TELEPHONE NUMBER. IN THE FOLLOWING MULTIPLE CHOICE QUESTIONS A V PUT WHERE THE CITIZEN AGREES WITH THE STATEMENT. THE LAST PART OF THE QUESTIONNAIRE IS LEFT FOR COMMENTS AND A BRIEF SUMMERY OF THE PROJECT (THE TRANSLATED TABLE WAS MADE BY PROF. LUO SHIMING 2013) TABLE 2: SHOWS THE FINDINGS FROM THE ANALYSIS DIVIDED INTO THREE CATEGORIES FOR PP (WHEN, HOW, WHO) AND SUBSEQUENTLY CATEGORISED ACCORDING TO ARNSTEIN THEORETICAL FRAME: ILLUSTRATES THE TIMING OF PP. THE THEORETICAL FRAME IS MADE BY TAKING THE FRAME FROM THE INITIAL MEETING WITH THE EIA-TEAM THE 16 TH OF MAY (CHAPTER 5.3.) AND USING THE EMPIRICAL DATA GATHERED FROM THE INTERVIEWS WITH THE EIA-TEAM AND THE HYDROPOWER STATIONS LEADERS AND THE DATA GATHERED FROM THE EIA FIELDWORK, TO DETERMINE PP1, PP2 AND PP3. THE THEORETICAL FRAME SHOWS THAT PP IS INCLUDED 3 TIMES, FIRST TIME (PP1) BEFORE THE ACTUAL EIA PROCESS BEGINS, SECOND TIME (PP2) BEFORE THE CONCLUSION OF THE EIR IS MADE AND THIRD AND LAST TIME (PP3) AFTER THE EIA PROCESS IS FINISHED

8 Abbreviation List Arnstein 2004: The theory on the Latter of Citizen Participation EIA: Environmental Impact Assessment EIA Law: The Law of the People s Republic of China On Environmental Impact Assessments EIA-team: EIA experts hired by the owner of the project to conducts the actual EIA EIR: Environmental Impact Report EPB: Environmental Protection Bureau IAIA: International Association of Impact Assessment MEP: Ministry of Environmental Protection OEIA: On-going-EIA PEIA: Post-EIA PP: Public Participation SEPA Guidelines: Guidelines for the inclusion of public participation in China, implemented in 2007 ToR: Terms of Reference Conceptual clarifications Interim EIA process: EIA related measures implemented by the hydropower stations after the implementation of SEPA guidelines in 2007 Participative Capacity: The abundance of resources, such as economy, knowledge and ability to organise community to press for priorities, within in society or within an individual. Proponent: Is a collective or individual conceptualization of either the government, the owner of project or the EIA-team or a combination of them together. Public Participation: It is the redistribution of power that enables the have-not citizens, presently excluded from the political and economic processes, to be deliberately included in the future (Arnstein SR 2004: 1) 8

9 Personnel gallery Prof. Cai: Professor at South China Agricultural University of Guangzhou. He joined the author on the excursion to Shaoguan area. Prof. Kong: Professor at South China Agricultural University of Guangzhou. He helped the author by supplying data and by taking pictures during the fieldwork and excursions. Prof. Luo Shiming: Professor in Tropical- and Subtropical Ecology at South China Agricultural University of Guangzhou. The author met with this Prof. Luo Shiming in Denmark, one year prior to coming to Guangdong Province. The professor was responsible for most of the arrangements during the stay in Guangdong Province, here among setting the preliminary schedule for the collection of empirical data. He also supplied the author with indispensible data and maps during the writing of the report. He was also translator during most of the interviews. Prof. Zhang: Professor and member of the EIA-team of the Institute of Environmental Science at Zhongshan University of Guangzhou. She was responsible for the corporation between the author and Zhongshan University. She was also responsible for the EIA process at Beiwai village Teacher Mai: Teacher and member of the EIA-team of the Institute of Environmental Science at Zhongshan University of Guangzhou. He also helped tremendously with supplying the author with maps and information especially during the last part of writing the report. Teacher Sophie: Teacher and member of the EIA-team of the Institute of Environmental Science at Zhongshan University of Guangzhou. She helped tremendously with supplying the author with maps and information during the whole process of writing the report. She was also translator during one of the interviews. Xiao Rong (village leader): Village leader at Beiwai village 9

10 1. Problem Area After the death of Mao Zedong in 1976 The Peoples Republic Of China embarked on a reform program that to this day still is developing the country in distinct ways. With corresponding integration into the international community through engagement and participation in international organizations and agreements, the country is now considered a key player in the power struggle worldwide. Domestically changes have been significant: shift toward marked based economy, greater freedom to travel, speak openly, and engage in private and social activities. With the reformist Deng Xiaopeng s own words To Get Rich Is Glorious the nature was considered to be concurred in the race for high GDP rates. Three decades later China has succeeded with this belief with substantial higher living standards for its people on the expense of great deterioration of its environment. China now recognises that balancing the economic reforms against the environmental degradation is of crucial importance to accommodate growing unrest and instability among people in rural and urban areas; increasing public health issues; significant financial costs in the aftermath of environmental degradation (Economy 2010; 58-60). On the back of various environmental laws originating from the early 1970 s, the enactment of the Environmental Impact Assessment (EIA) law in 2003, amended in 2007 with the SEPA guidelines for Public Participation (PP), marked a significant contribution toward addressing the degradations of the environment (Moormand JL, Ge Z 2007; 282). Before a developer can begin the construction of a project, an environmental impact report (EIR), of potential environmental impacts on the surrounding environment, must be submitted to the Chinese Environmental Protection Bureau (EPB) for review and approval. Public opinions regarding the potential of environmental harm must be included herein (Moormand JL, Ge Z 2007; 298). With the implementation of the (SEPA) guidelines for inclusion of the public in EIA processes, a great leap forward has been taken toward including the public in environmental issues, which they had not participated in beforehand, due to vague provisioning and guidelines (Moormand JL, Ge Z 2007; 282). By investigating the governance structure and legislation formulations surrounding the practical work with EIA on national and provincial level, combined with seven interviews and observations from one EIA fieldwork all within the province of Guangdong in China (Picture 1), the project will investigate the process of developing an EIA and the extend to which the public is being included. To assist in this evaluation literature on EIA from other parts of the world have been read as well as 10

11 the theory on the Latter of Citizen Participation (Arnstein 2004), to compare PP in EIA between Guangdong Province and international experiences. A Theoretical frame has further more been developed on the back of interviews with EIA-experts and through the EIA fieldwork during a planed highway construction. Interviews with local citizens on their experiences with EIA s, provide a critical line toward the Theoretical frame as conflicts and inconsistencies to the frame is highlighted Zhaoqing Foshan Zhongshan Picture 1: Map showing Guangdong Province, where all empirical data was gathered: Interviews with two EIAexperts was made Guangzhou city; interviews with two hydropower station leaders and two families living in a fishing village was made in Shaoguan area in the very north of Guangdong Province; one interview was made with a village leader in Zhongshan area, south of Guangzhou; author attended one EIA fieldwork investigation on a planed highway construction stretching 100 km west from Guangzhou city, through Foshan city and ending Zhaoqing city (Original picture is downloaded from China Highlights 2012; Zhaoqing, Foshan and Zhongshan city have been added to the map by the author 2013). The empirical data, gathered through interviews and observations, has been granted to the author by a professor at South China Agricultural University located in the city of Guangzhou, Guangdong Province. The contact to the professor was established in the summer of 2012 at an international conference in Roskilde, Denmark. 11

12 While having the highest GDP rates of all provinces in China in 2007 (14,5%), which amounted to 12% of the total GDP in China, Guangdong province also accounts for one of the highest population of all provinces in China, with over 100 mill people (Wu R et al., 2009; 1-2), leaving the province with a substantial percentage of all projects, thereby EIA s, developed within the whole of China. Guangdong Province should therefor be an excellent area for investigating the inclusion processes within EIA in China. With this brief presentation a problem formulation and research questions has been listed below Problem Formulation To what extend are the public being included into the process of the development of EIA in regard to construction processes in Guangdong Province, China? 1.2. Research Questions RQ 1 What is the current EIA and PP practice in Guangdong Province? Review literature Conduct interviews with Chinese EIA experts and hydropower station leaders and participate in one fieldwork with a licenced EIA-team RQ 2 Within Guangdong, have communities been consulted during impact assessments and planning of constructions? Conduct interviews with hydropower station leaders and rural communities to collect experiences and testimonies from previous projects on EIA process and PP, and the degree to which local citizens needs are accounted for Motivation The report will serve as basic research to clarify how and to what extent the public is included in EIA processes in Guangdong. The report will thus have importance for contractors / researchers / students from countries outside of China with professional work in China or interest in the Chinese market. In addition, the project may even help Chinese planners to refine their approach to the inclusion of PP when working with EIA. The focus of the project is quite unique and highly 12

13 relevant, as research reports on the Chinese EIA law in relation to the inclusion of PP in concrete and everyday constructions, is very hard to find, when browsing through scientific databases on this subject Project Design!! 0&%1+$2!3&$*!*45! 0&%1+$2!6%&27+*'(%4! 8$'#%5!!"#$%&$'()*+!)#*,'$&-!! 071+()!0*&'()(,*'(%4! 0&$-$4'*'(%4!%9!:;3!!.(-)&(,'(/$!)#*,'$&-! <*-$!,&$-$4'*'(%4-! :;3!(4!<#(4*! 34*+=-(-! 071+()!0*&'()(,*'(%4! 0&$-$4'*'(%4!%9!:;3! :;3!(4!<#(4*! <*-$!,&$-$4'*'(%4-! ;4'$&/($>-! <%4)+7-(%4!! Figure 1: The design of the project. 13

14 2. Method The methodology of the report is based on an exploratory research approach. Through the use of secondary and primary literature and qualitative research techniques such as interviews and observations, relevant data is collected in order to answer the research questions and problem formulation. The secondary literature comprise of academic papers on EIA experiences internationally and within China. This gives the author a better understanding EIA practices per se, but also help to design the interview guides. Especially one review published in Vermont Journal of Environmental Law on the SEPA guidelines and the Chinese EIA law is used for information gathering about EIA and PP practices in China (Moorman JL, Ge Z 2007). To get first hand information on the EIA procedure in China, primary literature on the legislations affecting the practical work with EIA in Guangdong Province is read: The Environmental Protection Law and the EIA law. As both the SEPA guidelines and provincial guidelines on PP in EIA in China is not available in an English translation the report will rely heavily on qualitative empirical data gathering. Observations during one EIA fieldwork investigation along with seven semi-structured interviews with two rural citizens, one village representative, two EIA experts and two hydropower station leaders, comprises the qualitative empirical data of the report. Further more Arnstein 2004, that categorises and ranges the degrees of PP, symbolised through the analytical tool of three categories of PP, is used for analysing the degrees of PP in EIA in Guangdong Province. The empirical data gathered is made possible through a network of experts put together by a Chinese professor in tropical and subtropical ecology at South China Agricultural University, by the name of Professor Luo Shiming. Through numerous correspondences over a period of half a year prior to arriving in Guangzhou, between the author and Prof. Luo Shiming, interviewees and cases were selected and a preliminary schedule for the empirical data gathering was set. The methodological approach has however changed during the process of developing the report, due to sparse literature available on EIA procedures in Guangdong province prior to arriving Guangzhou, leaving high uncertainty to the amount of empirical data needed to answer the problem 14

15 formulation of the report. Also the language barrier during the observations at the EIA fieldwork resulted in incomplete understanding of the EIA process. One extra interview with a village leader and two extra interviews with EIA experts were therefor requested, in order to answer the problem formulation Final schedule for empirical gathering The preliminary schedule, arranged through correspondence between Prof. Luo Shiming and the author, prior to arriving in Guangzhou: (11 th of May: Author arrived in Guangzhou) 16 th of May: Meeting: Presentation of the EIA process by a licenced EIA-team based at Zhongshan University, Guangzhou. 17 th of May: Observations and questioning during EIA fieldwork at a highway construction project with Zhongshan University EIA-team (chapter 6.2.). EIA-team leader: teacher Mai. 21 th of May: Interview with two hydropower station leaders and two families in a fishing village. Prof. Luo Shiming was translator (Appendices A, B, E). Since the empirical data decided for prior to coming to Guangzhou proved to be insufficient, another three interviews were requested and made: 27 th of May: Interview with EIA-team leader teacher Sophie, with no need for translator (Appendix C). 8 th of June: Interview with EIA-team leader teacher Mai, with Prof. Luo Shiming as translator (Appendix D). 18 th of July: Interview with village leader Xiao Rong, with teacher Sophie as translator (Appendix F) Interviews Seven interviews were done in total. The interviewees were all friends or acquaintances with Prof. Luo Shiming or Prof. Zhang from Zhongshan University, which gave way to a friendly vibe during the interview processes. The interviews were therefor to a large extend conducted semi-structured, leaving room for more informal talk, valued as important by the author, due to the unfamiliarity with the mind-set surrounding the concept of PP and interviews per se as a methodological 15

16 approach. With nearly perfect English and in depth knowledge in the field of environmental protection Prof. Luo Shiming from South China Agricultural University and teacher Sophie from Zhongshan University was considered optimal choices as translators during the interviews. With the permission from the interviewees, the interviews were recorded with a sound recorder and subsequently transcribed onto a word document and coded according to the analytical subchapters. The interview sampling frame is purposive, as choice of interviewee is in accordance to the relevant empirical evidence needed for the analytical chapter: Hydropower station leaders, EPB, EIA experts from licenced EIA-teams, village residents from a fishing village and a village leader. These interviewees compose the key actors in the actors network regarding the practical work with EIA in China. As the author of this report is not familiar with the Chinese culture, special attention is directed toward interview questions that are open, as to accommodate any misunderstandings and to leave room for information not directly asked for. Interview guides (Appendices G, H, I, J) for the semi-structured interviews, with relevant theme questions, is made for each interview depending on who the interviewee is. The theme questions derive primarily from the research questions and the problem formulation as well as from the theoretical chapters and are aimed at collecting knowledge to answer the framed problem (Bryman A 2008: 442). The interview guides assists in narrowing the needed data by sorting questions in themes, while also creating flexibility to both the interviewee and the interviewer for discussion of issues out of the interview guide framework (Bryman A 2008: 437). Interview with two EIA-team leaders: The experts licenced to conduct the actual EIA provide information on the details of the procedure for the actual EIA process, and to what degree this is done in accordance with international and national experiences and state and provincial guidelines and legislations. From two interviews, information is generated to assist the observations from the EIA fieldwork to design the Theoretical frame of the procedural work with EIA in Guangdong Province: Who of the citizens are included, when are they included and how are they included? One interview was made 27 th of May in a car during a fieldwork none related to this report, with teacher Sophie from Zhongshan University. No translator was needed. The other interview was made 8 th of June at the department of Tropical and Subtropical Ecology in South China Agricultural University, with teacher Mai from Zhongshan University. Prof. Luo Shiming was translator. The full interviews are shown in appendices C and D. 16

17 Interview with two hydropower station leaders: In order to represent viewpoints from the construction owner, interviews with two leaders of two different hydropower stations was chosen in Shaoguan area (Picture 1). A representative from the local EPB was present at both interviews. Both hydropower stations where approved for construction before the implementation of the SEPA guidelines in 2007, thus PP was not included according to these guidelines at that time - PP was actually not included at all. With the implementation of SEPA guidelines in 2007, it was however demanded, from government side, that constructions had to publicize the EIR, wherein measures for including the public should figure. Since both hydropower stations had not included the public beforehand, they were forced to conduct PP similar to that of present day EIA practice in China, in order to publicize the PP results in the EIR. The interviews with the hydropower station leaders therefor provide knowledge on how the interim PP process, on the constructions already built, was executed by hydropower station leaders. Being personnel from the decision-making environmental protection departments, the EPB, present at both interviews, provided insight on the practical implementation of EIA on a more general, but still case specific, scale. The EPB was able (and did so) to answer some of the questions directed toward the hydropower station leaders. The interviews were made 21 th of May prior to the interviews with the families in the fishing village the same day. Prof. Luo Shiming was translator during the interviews. The full interviews are shown in appendices A and B. Interview with two families in a fishing village: Living close to one of the hydropower stations interviewed, the fishing village is severely impacted by the operation of it. Having in mind that the hydropower station was approved and constructed before 2007, the two interviews with fishing families provide information on how they experienced PP before SEPA guidelines and also how they experienced the interim inclusion process, commenced after the implementation of SEPA guidelines. These experiences will to some extend be compared with the Theoretical frame, as to shed light on conflicts and inconsistencies to the Theoretical frame. The interviews with the fishing families also allow for comparison with the hydropower station leaders statements on how they saw the inclusion process. The interviews were made 21 th of May after the interviews with the hydropower station leaders. Prof. Luo Shiming was translator. The full interviews are shown in Appendix E. 17

18 Interview with one village leader in Beiwai village: Beiwai village has experienced disagreements with the proponents of a highway construction due to the close proximity of the its planed location to the village and a sacred forest. Like with the interviews with the citizens of Lishi fishing village, this interview also provides information on how the inclusion process is experienced and valued by the public. The information gathered concerns how present day EIA practice is experienced by the public, which the interviews with the fishers could not fully supply with, due the fact that the hydropower stations was approved for construction before the implementation of the SEPA guidelines. The information gathered from this interview therefor makes for a great comparison with the Theoretical frame on present day EIA procedure. This comparison will allow for data generation on what conflicts that exist between the public and the proponents of the project and to what degree these disagreements stem from inconsistencies to the Theoretical frame. The village leader is believed to be a good representative for the village, with an in depth knowledge about the EIA process. It is further believed that the village leader posses a good understanding of the overall opinions toward the EIA process among the villagers of Beiwai village. The interview was made the 18 th of July at Beiwai village. The full interview is shown in Appendix F Observations During one EIA fieldwork investigation on 17 th of May with a licenced EIA-team, information was gathered about the process of developing the EIA. The fieldwork was concentrated around a highway construction stretching 100 km west of Guangzhou, through Foshan city and ending in Zhaoqing city (Picture 1). With emphasis on the experts implementing the EIA, it is believed that core information on the actual EIA conduction is attained. To accommodate an as real EIA process as possible, observations and questions were used without a sound recorder. It was believed that asking questions underway with a sound recorder to their mouth, would hinder the EIA process from being as true to reality as possible. The observations and the questions were noted in a notebook while following the EIA-team. Due to language barriers it was found difficult to get answers to questions of interest. After the EIA fieldwork, two extra interviews with EIA-team leaders on the 27 th of May and 8 th of June was requested (Appendix C, D), as to get a more complete understanding of how the EIA-team worked. Together with this information, the data from the EIA fieldwork is generated in order to design the Theoretical frame of the EIA procedure in Guangdong Province. 18

19 2.4. Limitation and validation Though the project will contribute with information about the overall work with EIA in China, variations between provincial guidelines and practices - also in regard the EIA - can be substantial within China, leaving the case-based design inconclusive toward the practical implementation of EIA within all of China. The project thus serves to suggest how the practical implementation of EIA is in China, through conclusions of how it is practiced within the province of Guangdong. The project will furthermore solely focus on EIA in relation construction projects that may cause a significant impact on the environment. This means that the report will neither have focus directed toward EIA on plans and policies, that to this date also are encompassed in the EIA work in China, as well as construction projects that, through the screening process of the EIA, is considered to have lower than significant impact on the environment. As all interviews were done through the Prof. Luo Shimings network of friends and acquaintances, being it experts, political representatives or locals, this relationship, in principle, is not regarded as an optimal approach to completely biasfree and objective empirical data gathering. Furthermore also considering that the professor was translator during five of the seven interviews, might leave room for false interpretations of which the author, due to his, mildly speaking, vague mandarin, would not be aware of. However the professor is well known by the author and the supervisor of the author, and taking into consideration the amount of preparation the author and the professor had used prior to the empirical data gathering, the professor is believed to be sincere in obtaining as objective empirical data as possible. The more informal interview structure made the process more organic and natural, but did however give the interview process less structure, which could have been one of the reasons why some questions went unanswered in regard to the fishing village and the hydropower station leaders experiences with the EIA and PP process. This might however also have to do with inappropriate timing of these interviews. These interviews should have been commenced after the interviews with the EIA-team leaders, where the author had more knowledge about the EIA process with in Guangdong Province. In this way the EIA procedure, uncovered primarily through the interviews with the EIA-team leaders one to two weeks later, could have been compared more thoroughly to the fishing villagers and the hydropower station leaders experiences with the EIA process, by asking these actors with more precise questions in regard to the EIA procedure. The language barrier appeared to be more serious than first expected. Mostly only during interviews and talks where a translator was present gave way to answers that was fully understood. Unfortunately this 19

20 language barrier limited the understanding of the information gathered during the fieldwork with the EIA-team and during three other meetings on the EIA process in China, of which has not been described in the report. Lastly it should be noted that cultural traditions regarding PP in China have not be studied, which might constitute a big influence on the participation measures, the timing of it and the inclusion procedures in general. Therefor findings in this report can only be compared to international experiences by being aware that means and measures might be important in different ways in China, than it is in the western world. The Beiwai village case, of which was given to the author by the EIA-team, proved to be a prime example of a successful EIA process. To get a more critical case, where conflicts of interests could have contributed more to a critical view on the EIA process in Guangdong Province, the EIA-team, whom is responsible for the actual development of the EIA, might not have been the source for case selection, as they probably focus on cases where their work was successfully implemented. 3. EIA This chapter serves to set one of two theoretical reference points (chapter 4. being the other) for analysing the empirical data. The chapter will present the reader for the concept of EIA and the operational stages within, beginning with a brief historical overview, where after United Nations Environmental Program s (UNEP) framework for EIA and International Association for Impact Assessment s (IAIA) basic principles for good practice in EIA are shown. These analytical tools will be used as comparison to the empirical data gathered. Presentation of the stages where PP should be included is lastly described Presentation of the concept of EIA Environmental impact assessment, as a national instrument, shall be undertaken for proposed activities that are likely to have a significant adverse impact on the environment and are subject to a decision of a competent national authority. (UNEP 1992: Rio Declaration on Environment and Development, Principle 17) 20

21 In 1969 the United States of America, as the first country in the world, adopted the concept of EIA (World Bank Group 2012; ). In the decades since, many countries of various levels of development and various types of governments and cultural traditions have embraced the concept. An EIA can be done with developing projects, constructions projects, strategic plans and politics. With regard to construction projects, of which this report is concentrating on, a detailed EIR is often needed for larger projects with extensive amounts of expected consequences on the surrounding environment. These projects could include big hydropower stations and highway constructions, of which the cases of this report are about. If applied in the early stages of the decision making process, EIA can become an important planning instrument, providing vital information on potential environmental consequences. With awareness of these consequences projects can be thought through in more details, as to consider alternative project options or mitigation measures toward the impacts uncovered in the EIA. The application of EIA can furthermore, through the inclusion processes, increase the acceptance of the project among citizens, whilst adding substantial financial savings to the developers by shortening the EIA process (Slootweg R et al., 2001; 19). According to UNEP developing and transitional countries should conform to internationally accepted principles, when working with EIA and herein PP. It is further emphasized that such approach cannot be differentiated from wider uses of governance and cultural traditions, acknowledging the inherent differences in approaches to EIA and PP that are bound to lie within each country. Even though many developing and transitional countries do conform to internationally acknowledged principles, countries do exist where this is not the case. Common problems include inadequate specification of implementation, lack of quality control, insufficient enforcement procedures, failure to assign responsibilities or lack of provision for meaningful public involvement (UNEP 2010; 19). To accommodate these issues, basic principles and an EIA frame have been developed. The Basic principles, developed by IAIA, of which UNEP is closely working with, should be applied to all stages of the EIA process, representing good overall reference points, highly relevant for meeting the challenges of undergoing a comprehensive EIA process. The important principle in relation to this report is the participative principle. This principle will be presented in chapter 4. on PP, and can also be seen in Appendix K. On the basis of international 21

22 experiences, a stepwise frame, showing the key stages of the EIA process, has been developed in UNEP s EIA Training Resource Manual. This is illustrated below. Figure 2: Showing the EIA process according to UNEP. The EIA process begins after it has been decided, through the screening process, that an actual EIA is required. Hereafter follows the operational stages ending with the decision-making authority either proving or disproving the project. PP is normally focused mainly on the Scoping and the Review stage. An explanation of all stages is shown in Appendix L (UNEP 2002; 114) 22

23 Although PP can be included during all stages according to IAIA s basic principles (Appendix K), UNEP s flowchart emphasis special attention toward the scoping and the review stage of the EIA process. A more in-depth description of these stages should therefor be introduced. In essence the scoping stage provides for an appropriate and cost-effective EIA process. With the purpose of providing information on the important issues and impacts that need to be studied further and the identification of the alternatives to the proposed action, the scoping stage should be carried out in an open and inclusive way, designed to bring about the information needed for an optimal decision-making process, which is done by involving the public, to set the focus and the boundaries of the EIA study. In this way important issues and interests will to a lesser extend be overlooked when preparing the Terms of Reference (ToR), which determines is the focus points and the overall plan for the further work with EIA. ToR is thereby set according to the findings in the scoping stage and should be a consensus document, reflecting a scoping process where opinions of all citizens have been assessed. ToR should further more be a flexible tool leaving room for change in plans regarding the focus of the further EIA process (UNEP 2010: 48). Before the EIR is sent for approval, the draft of it will, during the review stage, be checked for its completeness and information gathered, as to make sure of its adequacy for approval. This is valued against ToR, set through the scoping stage. The inclusion of public opinion are usually an integral part of the EIA process at the review stage (UNEP 2010: 58), where the measures for inclusion vary from public hearings to mere notifications. The more serious the impacts are to the communities, i.e. relocation, the more thorough the means for inclusion should be. The views from the public during the review stage, along with other more technical reviews from environmental experts, should be expressed in the final EIR along with arguments from the proponents of the project on how these views have been addressed. The EIR should be made public as well as a non-technical summary readable to the public (UNEP 2010; 58-59). The EIA process should further more include a post-decision stage of impact management and other follow up actions, corresponding to the last stage, Implementation and follow up, in figure 2. Here in should monitoring of impacts and mitigating measures be commenced along with community liaison and institutional strengthening (UNEP 2010: 43). 23

24 3.2. Summary EIA is an important process as to accommodate vital information on environmental consequences, developing ideas for alternative options and mitigation measures, as well as to enhance the acceptance among citizens. Inadequacy in EIA development often stem from lack or insufficient implementation, lack of quality control, failure to assign responsibilities or lack of provision for meaningful public involvement. To accommodate these inadequacies international guidelines for EIA has been developed, here among basic principles and UNEP s EIA Training Resource Manual. In regard to PP special attention should be put toward the scoping and the review stage of the EIA process. During the scoping stage, involvement of citizens should be utilized, to determine the important issues and impacts that need to be studied further, to identify the alternatives to the proposed action and to establish ToR. ToR is an important prospective tool that, more or less, determines the further work with EIA. During the review stage, where the public opinions usually are an integral part, information gathered is checked according to ToR for its completeness, as to provide for an adequate decision making process. A readable edition of the EIR should be made public. A post decision stage should further more be implemented to monitor the impacts and measures and to keep contact with the local community. 4. Public participation This chapter is used as the second theoretical reference point (chapter 3. is the first) for the analysis of the empirical data. The chapter will describe PP in the context of EIA through standpoints from the actors IAIA and UNEP, developed on the back of international experiences. Both IAIA and UNEP will supply with relevant insight as to how PP have been utilized before, and thereby what EIA related factors that have influence, positively or negatively, on PP. Besides contributing with information on the degrees of PP, the Latter of Citizen Participation (Arnstein 2004) will further more be used to summarize the finding in the analysis, as to where upon on the latter PP in Guangdong Province ranges Public participation in EIA When dealing with plans, politics and projects it is important to keep in mind that decision makers are not required to select the environmentally preferable alternatives or prohibit adverse 24

25 environmental effects, as other concerns and policy considerations such as social, economic, technical or national security interests, may have higher priority (Council on Environmental Quality 2007; 8, International Association for Impact Assessment 1999; 3). The main purpose of EIA is to ensure optimal quality from decision makers in assessing the environment. It is regarded that the participative capacity of inclusion of opinions from a wide variety of stakeholders, is a key denominator for a successful EIA process, as it ensures decisions being based on the broadest spectrum of information, with subsequent greater support for the project among these stakeholders (UNEP 2010: 66). Public involvement can provide essential information on key impacts, potential mitigation measures and also the identification of alternatives, while also giving the public confidence and self-esteem, when participants see their ideas are helping to improve proposals. UNEP lists three key points that have been shown to improve with the inclusion of the public in EIA processes: early and planned public involvement and consultation encourages better designed policies, programmes and projects; policies, programmes and projects with public involvement and consultation are often more likely to achieve their objectives; policies, programmes and projects with public involvement and consultation are more likely to avoid costly delays in appraisal and difficulties in obtaining needed permits or licences. Basically, policies, programmes and projects are less likely to fail if the public is involved. (UNEP 2010: 65) IAIA stress, through their basic principles, that public involvement is one of the core principles of good practice in EIA: the process should provide appropriate opportunities to inform and involve the interested and affected publics, and their inputs and concerns should be addressed explicitly in the documentation and decision-making (Appendix K). With reference to other authors, UNEP furthermore emphasise that PP has been included with success in various other stages, than the scoping and the review stage, such as: examination of alternatives, mitigation methods and in the decision making process (UNEP 2010: 65). There are key factors often present in developing and transitional countries that can be constraining the degree to which PP is included: limited democracy, cultural traditions, low levels of education 25

26 and literacy and gender inequality. With regard to the EIA process, a minimum requirement for PP should provide for public notification, disclosure of information on a proposal, access to EIA documentation and comment by affected and interested parties on scoping and EIA reports., as well as including the public as an active instead of a passive partner (UNEP 2010: 28). It has furthermore become increasingly clear that large-scale constructions not only affect the surrounding environment, but also manifests it self in crucial social costs to the people living within it. These people, more often than not, do not benefit from such constructions, especially when extending the temporal scope of observation, where delayed consequences manifests it self severely (Ip DFK 1990; ). Emphasis should therefor be put on including people and societies with less participative capacity, where low levels of education and illiteracy is highly prevalent (UNEP 2010: 28). Especially where minorities reside, special attention should be directed toward ensuring understandable information is disclosed and that opportunities to respond are appropriate (UNEP 2010: 48). UNEP finds three ways in which PP can be utilized in EIA. The first way is information dissemination, where the proponent provides information about the project to the citizens. This can be done once or with regular intervals. The flow of information is thereby one-way and there is no provision for responses to this information. The second way for inclusion of PP is through consultations with exchange of information between the proponent and the citizens in a two-way process, thus provisioning for the public to express their views on issues related to the project. The proponent, however, is not obliged to take account of such views in the decision-making. Feedback on the suggestions from the citizens can be mandatory at this level, supplying the citizens with information on the extent to which their views have been included into the design. At the highest level of participation, involvement and responsibility between citizens and authority/proponent are shared. (UNEP 2010: 70) As the inclusion of PP is of central importance to EIA, an illumination of the concept of PP must be presented. PP is essentially about power to the people: to what extend are the citizens being deliberately included into the future planning (Arnstein SR 2004; 1). And with this more detailed comment: It is the strategy by which the have-nots join in determining how information is shared, goals and policies are set, tax resources are allocated, programs are operated, and benefits like 26

27 contracts and patronage are parcelled out. (Arnstein SR 2004; 1) Sherry R Arnstein sets the stage for a more subtle conception on PP. 4.2 Ladder of Citizen Participation Arnstein 2004 details the concept of PP by categorizing different levels of participation in what she calls the Latter of Citizen Participation. The conceptual clarification contains eight rungs of degrees of participation, with the least level of participation being on rung 1: Manipulation and the highest level of participation at rung 8: Citizen Control. Figure 3: Showing the Latter of Citizen Participation that divides PP into 3 categories and 8 rungs. Nonparticipation is the category representing the least degree of participation, while Tokenism and Citizen Power, represent higher degrees of participation, with the Citizen Power being the most participative (Arnstein SR 2004; 2) This report will not distinct between these 8 rungs, as focus will be put on the three classifications: Nonparticipation, Tokenism and Citizen Power. 27

28 Nonparticipation: Manipulation and Therapy compose the two lowest rungs of participation. The real objective is not to enable people to participate, but instead to guide people in the right direction (Arnstein SR 2004; 2). People are placed in rubberstamp advisory committees for this exact purpose. During meetings within these committees, officials are persuading, educating and advising the citizens, not the reverse. This relation is often used as prove that grass-root people are involved in the process, even though the program may not have been discussed with these people. Officials believe the opinions of the citizens represent a pathology that should be cured. This style of nonparticipation is often applied to programs encompassing the poor (Arnstein SR 2004; 4-5). Tokenism: Informing, Consultation and Placation compose the next level of classification. At this level citizens are indeed heard, but under conditions to which their views lack power to be heeded further, hence no assurance of real influence. The power holders therefor retain their right to decide (Arnstein SR 2004; 2). Informing citizens of their rights can be seen as the most important first stage toward the inclusion of the public. However at this tokenism classification information is often one-way, leaving very little room for negotiation. Especially if information is disclosed at a very late stage in the planning process, public influence becomes insignificant as to have any real influence on the programs designed for their benefits. The means for this one-way communication is often news media, pamphlets, posters, and responses to inquiries, which cannot stand alone as only mean toward full participation. Consultations like public hearings, neighbourhood meetings and attitude surveys are essential means but cannot either stand alone as the only mean. By counting the number of participants and the number of brochures taken at the meetings, the authority falsely disclose that full PP has been practiced. Questionnaires are also frequently used without any action subsequently. Often authority handpick worthy citizens to collaborate in decision making boards and if this board are not accountable to the constituency of the community or if the majority of seats in the board are held by the authority, real participation still lacks as citizens can easily be outvoted or out-manoeuvred. The constellation of such boards can also manifest itself with authorities having the right to judge the legitimacy or feasibility of the advice. If participants are allowed to be involved in the planning process as such, two parameters are crucial for the degree of participation by the citizens: the quality of technical assistance they 28

29 have in articulating their priorities; and the extent to which the community has been organized to press for those priorities.. (Arnstein SR 2004; 5-9). Citizen Power: With Partnership, Delegated Power and Citizen Control planning and decision making responsibilities are shared through structures such as policy boards and planning committees. Through partnership trade-offs between power holders and citizens power is redistributed and sets ground rules that are not further subject to unilateral changes. With partnerships, citizens have a genuine influence on plans when citizen leaders are accountable to an organized community powerbase; when citizen groups have the financial capacity to pay citizen leaders honoraria for their time consuming efforts and hire in their own technicians, lawyers and organisers. With delegated power citizens have the provision to veto if differences between opinions cannot be resolved. Power holders therefor have to bargain with the citizens, not the opposite. With complete citizen control citizens are granted full managerial power e.g. through having the majority or all of the seats in the decision making board. The most frequently advocated corporation is that of neighbourhood collaborations where no intermediary body stands between the collaboration and the funding (Arnstein SR 2004; 9-13) Summary PP should be implemented early in the EIA process as it encourages better designed projects, given that appropriate opportunities to inform and involve both interested and affected public is possible. Besides the scoping and review stage of the EIA, PP have furthermore been shown to be beneficial during the examination of alternatives, examination of mitigation methods and in the decision making process. As a minimum PP should include public notification of the project, access to EIA documentation and the public should be able to comment on the scoping process. Especially people from poor areas, with little capacity for having their voice heard, should be in focus, as to ensure that their opinions are also included. With regard to types of involvement in EIA, three ways have been identified by UNEP. Information can be dissemination in a one-way form, from proponent to the public. Through consultations, with exchange of information between the proponent and citizens in a two-way process, the inclusion of PP is more participative. At the highest participation level of EIA, involvement and responsibility between authority/proponent and citizens are equally shared. 29

30 Arnstein 2004 divides PP into three classification: Nonparticipation, Tokenism and Citizen Power. During Nonparticipation the public are placed in rubberstamp advisory groups, where officials are persuading, educating and advising its citizens. In this classification the term PP is often used to prove that the public are involved in processes, even though they have not been included in any form of discussion, and sometimes not even notified. During Tokenism citizens are heard, but under restricted conditions giving them no real influence, as power holders retain their right to decide through upholding the majority of seats in the decision making board. Informing citizens of their rights is the most important step and a prerequisite for any real inclusion. Participation at this stage is often still through one-way information through means such as news media, pamphlets, posters, and responses to inquiries. Two-way information is also possible hear through questionnaires, public hearings and consultations. Citizens are however often handpicked for this type of collaboration. In the category Citizen Power, citizens have the power to veto in cases where proponent and citizen disagree, which is why power holders often have to bargain with the citizens in cases of disagreement. Citizens further more also have financial capacity to pay for citizen leadership, leaving these leaders accountable to the community. 5. EIA in the Peoples Republic of China This chapter is a descriptive, in that it will introduce the reader to the administration and the laws of EIA in China as well as the provide information for the procedural framework for developing an EIA in Guangdong Province. Some of the information provided here will therefor be used as empirical data for the analytical chapters EIA laws and procedures in China Economic development and environmental protection are interrelated and promote each other. The former gives rise to the environmental problem and the latter constitutes an important condition for developing the economy. Economic development increases the capability to protect the environment and environmental improvement, in time, promotes economic development. Beijing Review (Taken from Ning D et al 1988; 85) 30

31 This quote is written seven years after the first formulation worldwide of EIA and three years prior to the impetus of China s introduction to the EIA system. The quote indicates that the interrelation of economic development and environmental protection was considered closely connected even before the EIA system had been introduced in China. The first stage toward the inclusion of EIA in the Chinese legislation system began with the enactment of the Environmental Protection Law of The Peoples Republic of China in Along with 15 other specific laws that address water, noise and air pollution control, management of solid wastes, resource conservation, wildlife, land use control and hazardous material disposal, the EPL forms the legislative basis for EIA practice. Article 6 states that: All enterprises and institutions shall pay adequate attention to the prevention of pollution and damage to the environment when selecting their sites, designing, construction. In planning new construction, reconstruction, and extension projects, a report on the potential environmental effects shall be submitted to the environmental protection department and other relevant departments for examination and approval before designing can be started (.) (Standing Committee of the 9th National People s Congress 2002; Article 6) And Article 7 further emphasizes: In rebuilding old cities or building new ones, assessments shall be made of the potential environmental effects on industrial and residential areas, public utility facilities and green belts by reference to the meteorological, geographical, hydrological and ecological conditions, and overall planning and a rational layout must be made to prevent pollution and their hazards to the public so as to build a clean modern city in a planned way (Standing Committee of the 9th National People s Congress 2002; Article 7) According to these articles EIA is triggered by development activities being it new construction, additional construction, or reconstruction. With the phrase in Article 6 developers are required to pay adequate attention to the prevention of pollution and damage to the environment when selecting their sites, designing, constructing, and planning production.", placing the main responsibility of the environment on corporations and institutions. The law furthermore states that in order for a developer to begin the design of a project, he/she must submit a report of potential 31

32 environmental harm to the Chinese environmental protection officials for review and approval (this being todays EIR). The assessments should furthermore include ecosystem conditions, overall planning and mitigation measures. The degree to which this information is needed has to do with the Ordinance of Environmental Management for the Construction Project s screening classification. By dividing constructions in three categories according to their potential environmental harm, a passage from the legislation gives way to a screening method which determines the amount of information needed in order for a construction projects to get approved, basically pre-determining the screening process, and leaving no provisions for public involvement in this initial stage (Moormand JL and Ge Z 2007; 302). Only projects having a "significant impact on the environment" (Standing Committee of the 9th National People s Congress 2002; Article 16) are required to submit an EIR, which is the essential document submitted to the Chinese environmental protection officials for approval. (Standing Committee of the 9th National People s Congress 2002; Article 10). The Law of the People s Republic of China on Environmental Impact Assessments (EIA Law) expands on the existing EIA practice in two distinct ways. It includes government plans and the provision for the inclusion of PP as a requirement for the EIA process. Before 2003 EIA did not include the provision for PP, neither in the sense of public notification or general involvement in the process (Moorman JL, Ge Z 2007: ). In the EIA Law it is however not precisely defined how public involvement should be included when it comes to timing, measures and scope, but it is stressed that all opinions from departments, experts, the public etc. should be evaluated and argued for why they have or have not been included into the final EIR (Standing Committee of the 9th National People s Congress 2002; Article 21). The lack of framework for inclusion of PP within the EIA law left a big hole in the compliance between law and practice, which led to an amendment in 2007: SEPA Guidelines. These guidelines explain the rights and obligations of the developers and the public as well as clarifying the process of soliciting public opinion during the drafting of the EIR (Moormand JL, Ge Z 2007; ). Within 15 days before commencing an EIA investigation, the public must be orientated about the details of the construction project. This disclosure must identify the developer and the organization hired to conduct the EIA and the means and methods for including public suggestions. When the EIA process is nearly finalized, the hired EIA organisation must make it public so suggestions from the public can be addressed before the EIR is submitted for approval. The means for inclusion of local knowledge has been suggested 32

33 through the guidelines: questionnaires, expert consultations, workshops, debates, and hearings. (Moormand JL, Ge Z 2007; 306). It is however up to a licenced EIA-team, to choose means for inclusion. This information should be made public, e.g. though local newspapers or internet, at least 10 working days prior to the time set for the deadline for suggestions. The EIR should be made public, as to show the citizens the results of the EIA process, within which the responses to the publics suggestions have been addressed. If the public do not feel that the EIA-team have addressed their input in a proper way, they are entitled to send their input and complains directly to the responsible EPB (Moormand JL, Ge Z 2007; ) EIA administration in The Peoples Republic Of China The legal and supporting institutional systems surrounding EIA are comprised by a lot of ministries, departments, bureaus and other institutional arrangements expanding both horizontally and vertically from state-level, through provincial-, municipal-, county- and local village level (China Water Risk Unknown Year; Regulatory Institutions). Formally the laws on EIA are passed by the National Peoples Congress (NPC), which is the highest state body, while central ministries, such as the Ministry of Environmental Protection (MEP) (formally known as SEPA) and its local level counterparts, the Environmental Protections Bureau s (EPB), are responsible for identifying measures and subsequently implementing them (China Water Risk Unknown Year; Regulatory Institutions, World Bank 2006; 24). 33

34 Figure 4: Showing the institutional setup in relation to EIA within China. SEPA (State Environmental Protection Agency), which has been renamed to MEP (Ministry of Environmental Protection), is the central state ministry, while the EPB s operate on regional level, with implementation of the legislations set by SEPA/MEP (Wang Y et al., 2003; 552). The responsibility for the development of EIR lies with licensed impact assessment organizations (EIA-teams) contracted by the developer. MEP administers the licensing system as to maintain a list of certified organizations. To ensure the effectiveness of the assessment, the EIA Law mandates that these organizations be independent third parties, unrelated to the government. According to the natures of the impacts, the appropriate provincial, municipal, regional or county EPB s are responsible for examination and approval of the majority of EIR (Moormand JL, Ge Z 2007; ). MEP approves EIR s in economically large scaled cases and cases of national interest and cases related to nuclear technology. 34

35 5.3. Local approaches Before the fieldwork was conducted with the EIA-team a presentation of how they commence the EIA-process was presented to the author during the first meeting the 16 th of May. An theoretical EIA frame from which the EIA-team operate looks as such: Frame: Showing the EIA frame of which the EIA-team, investigated in this report, work from. It is not precisely defined when PP should be implemented, but it should be implemented in all three stages (Taken from power point presentation given the 16th of May at the Institute of Environmental Science, Zhongshan University). Divided into three stages, the frame shows that PP should be included in all three, though without specifying exactly when. The EIA-team further more worked with PP set through provincial 35

36 guidelines. These guideline refines the SEPA guidelines by concretising when to include, how to include and who to include: At least 70% of the directly affected public should be included as well as 70% of other directly affected institutions and factories. The information disclosed before the EIA process begins and before the public is deliberately asked for their opinion should be visible minimum 10 days prior. Lastly questionnaires should be used as means for including the public regarding their inputs on the draft of EIR report (Appendix D & 55.10) Summary Three laws are setting the foundation for the practical work with PP in EIA in China: Environmental Protection Law, EIA Law and SEPA guidelines. Before a construction can begin, an EIR, developed by a licenced EIA-team and hired by the developer, should be sent to the responsible EPB for approval. SEPA guidelines defines three times where the public should be included: The public must be orientated about the construction minimum fifteen days before commencing the EIA investigation and herein should it be disclosed who the developer is and which organization is hired to conduct the EIA, as well as the means and methods for including public suggestions. Before the EIR is submitted for approval, the public should be orientated a second time, where after (minimum 10 days) they are asked for suggestions to the project. It is up to the licenced EIA-team to choose means for inclusion of PP. The EIR should further more be made public after finalization. The public are entitled to complain directly to the responsible EPB, if they feel unjustly treated. The EIA-team work from a frame, that describes the EIA process divided into three stages, wherein PP should be included in all three. Provincial guidelines further refine the EIA-teams work with PP in Guangdong: 70% of the affected public has to be included, 10-day information disclosure limit before EIA process begins and before the public are asked for their opinion. Questionnaires have to be used as means for inclusion of the opinions of the public. 6. Case presentations The cases are divided into On-going EIA cases (OEIA) and Post EIA cases (PEIA). During OEIA the author gathered information from one EIA fieldwork investigation with a licenced EIA-team, were from an understanding of the procedural work with EIA was attained. Combining this information with the two interviews with the EIA-team leaders (27 th of May and 8 th of June) and the 36

37 guidelines for inclusion (chapter 5.), allows for the design of the Theoretical framework of the EIA procedure in Guangdong province. The OEIA was concentrated on a planed highway construction stretching 100 km west of Guangzhou, through Foshan city and ending in the city of Zhaoqing. The PEIA cases provide information on the aftermath of the EIA processes from two hydropower stations, two families of one fishing village and one village leader. Here the constructions are already finished, thus making room for reflections on the EIA process experienced by these citizens. Here conflicts between citizens and proponents of the project will be highlighted as to lay a critical view on the EIA procedure found though the OEIA and the interviews with the EIA-team leaders and the inclusion guidelines (chapter 5.). The PEIA cases were located in the area around Shaoguan city and in Beiwai village close to Zhongshan city. PEIA OEIA PEIA Zhongshan Picture 2: Showing Guangdong Province and the locations of the cases. The EIA s investigated at the hydropower stations and at the fishing village, was done in Shaoguan area and the interview with the village leader was done in Beiwai village close to Zhongshan city. These interviews compose PEIA. The OEIA was investigated at the planed highway construction in the area stretching 100 km west of Guangzhou city between this city, Foshan and Zhaoqing city (The original map is downloaded from NIHMP 2012; The lactation of the EIA s is added by the author 2013) 37

38 6.1. OEIA The observation was conducted during one EIA fieldwork investigation with a licenced EIA-team from Guangzhou based Zhongshan University, the department for EIA within the faculty of environmental science. The EIA-team was composed of three master students and one EIA-team leader by the name of teacher Mai, who had worked with EIA for fourteen years. The fieldwork was commenced 17 th of May and was concentrated around a planed highway stretching from Guangzhou 100 km west through Foshan city and ending in Zhaoqing city. Observations and note taking were used for data gathering. Picture 3: Showing the highway construction (OEIA) marked with a thick red line. The highway is stretching from Guangzhou city through Foshan and ending Zhaoqing 100 km. Beijiang river is seen going through the highway construction (picture ed to the author by teacher Sophie 2013) Half part of the construction project concerned broadening the existing highway, while the last half part consisted of building a new highway and thereby extending the previous to 100 km. The 38

39 extension of the highway was situated in industry area but it also encompassed building of a bridge crossing Beijiang river. The author was told by teacher Mai, that the EIA-team was hired by a state owned construction company and that before the fieldwork was commenced, the EIA-team had read through information about the concrete project supplied by the construction company. From this information the EIA-team had determined what national and provincial EIA guidelines they should read in order to locate what areas and what communities would be sensitive to the highway construction and subsequently the operation of it. The day of observations consisted of driving in a car through half the distance of the highway, back and forth between Guangzhou and the Beijiang river (Picture 3), to determine which residential areas that would be to close to the highway in regard to noise nuisances. The EIA-team determined residential areas, hospitals, prisons and schools, within 200 meter from the highway to be sensitive areas, whom had to be included as part of PP process. Picture 4: Many highways made it difficult to find the exact location of the planed highway construction. By using GPS and map, the EIA-team found the location. The building seen to the right is a residential house and therefor to close to the highway reconstruction. The residents of the house will, according to the EIA-team, be included in the PP part of the EIA, as the house has to be removed (Picture was taken by the author in the outskirts of Foshan city 2013) 39

40 As expressed by teacher Mai, no other part of the public sphere would be informed of the project and the sensitive areas would be addressed through their local village leaders, whom would be presented of the highway construction plans by the EIA-team, in the form of an understandable summary of the data gathered about the impacts and the state of the environment. The village leader would subsequently present this summary to the citizens, where upon a questionnaire, designed by the EIA-team, also should be answered by the citizens, by ranging the impacts according to the damage they think should be focused mostly on mitigating. This questionnaire had not been designed yet, the author was told by teacher Mai, as the present fieldwork would allow the EIAteam to know the exact local vulnerability of the different areas along the highway. Through experience and the reading of national and provincial EIA guidelines on highway constructions, teacher Mai already had an opinion of what impacts that should be listed in the questionnaire: Noise, Water pollution, Air pollution, among other things, as well as a column for remarks and objections, which is mandatory.. The document would subsequently be signed with telephone number, as to let the proponents of the project be able to contact these persons to discuss possible disagreements. But as one student from the EIA-team stated normally the objection come from people not knowing enough about the project, the disputes are often settled quickly, and often to the benefit of the construction company. However if a lot of people have the same remarks about the highway and these remarks are found to be of valid significance, the placing of the highway can be changed or even be cancelled, teacher Mai expressed, while also emphasizing that economic compensation can be given in the form of measures to minimise the impacts, such as soundproofing fences (which is very normal in Guangdong), or direct monetary compensation with the obligations for residents to be resettled. Before the questionnaires would be given to the citizens, a presentation of the project would also be put on the internet for 10 days and likewise posted on different places in the village for the residents to see, teacher Mai further added. Something that to teacher Mai seemed as a very important issue in regard to the success of the EIA process, was the initial acceptance among village leaders to the project presentation from the EIA-team, because if the local village leaders do on the agree with the highway construction, the EIA-team have to distribute the questionnaires themselves. In such cases the EIA-team have experienced a lot disbelieve from the citizens toward the project. As last step of the EIA-teams work, the author was told, that the EIR of the highway construction would be sent to the government for approval, containing the disputes with the local people and how these have been solved. A summary of the EIR would furthermore be available on the governments website and likewise also posted at the sensitive areas. 40

41 6.2. PEIA Two leaders of different partly state owned hydropower stations in Shaoguan area were visited the 21 st of May with one representative from Shaoguan EPB attending at both visits. Shaoguan city is the last big city before Hunan Province. It lies where the two rivers wujiang (western river branch) and Zhengjiang (eastern river branch) join to form Beijiang river (Picture 5). The city has around 3 million citizens and the area encompasses around km 2 (TravelChinaGuide.com; Shaoguan). Picture 5: Showing Shaoguan area, with Shaoguan city concentrated around the unification of Wujiang and Zhengjiang rivers. Lishi fishing village (where two interviews with fishing families was carried out) is lying 3,2 km north of Yizhou fishing village, which has had tremendous effect on the livelihood of the villagers of Lishi fishing village. Mengzhou hydropower station is located south of Shaoguan City on the Beijiang river (Google maps 2013) 41

42 Yizhou hydropower station lies on the wujiang river, 6 km northwest of Shaoguan city, while Mengzhou hydropower station lies 10km southwest of Shaoguan city on the Beijiang river (Picture 5). Due to the fact that the hydropower stations were approved to be built before the enactment of SEPA guidelines, the hydropower stations, at that time, had no guidelines to follow in regard to PP and so the public was not included what so ever. This is exemplified from this quote by the EBP: At that period they were not required to make a public announcement. But from 2007 they required ( ) so they did. (Appendix B; 13.45). Due to the enactment of the SEPA guidelines in 2007, the hydropower stations was obliged to commence PP measures according to that of the guidelines, on the constructions already approved and built: EPB: After the law (the EIA law) has been published many people (licenced EIA companies) do (include public participation), but in different ways. Some have a presentation to give the public, some just post it (on the internet). Some people don t even like the public to know the situation. So in 2007 we had very restricted requirements to get the public included. It s a very formal top/down way. Question: Is it the SEPA guidelines? EPB: Yes (Appendix B: 14.30) Two families from Lishi fishing village, three km north of Yizhou hydropower station were also interviewed (Picture 5) same day after the interviews with the hydropower station leaders. This fishing village is greatly affected from the construction and the operation of Yizhou hydropower station by rising water tables, the decrease in fish stock and the destruction of fishnets from the influx of water toward the hydropower station when the gates open. Lastly a village leader was interviewed the 18 th of July from Beiwai village close to Zhongshan city to the very south of Guangdong Province (Picture 2). The residents of this village have experienced an EIA process from a highway construction, where their disagreements toward the idea, changed the original location of the highway. The above presented three cases will below be described more in details 42

43 Yizhou hydropower station: As part of the Wushui Cascade Development Program, it is one of seven hydropower stations of the northern part of the pearl river that stretches for 81 km. In October 1997 Yizhou hydropower station was approved for construction by the Planning Committee of Guangdong province. Due to administrational difficulties the construction of the hydropower station began in 2003 and was completed in April Along with flood protection and irrigation, the total capacity of the facility amount to 20MW and the annual electricity generation is million kwh (Institute of pearl river water resources protection science 2009: 1-2). The interview was conducted with the leader of the station and a representative from the Shaoguan EPB in the stations conference hall. Picture 6: Was taken during the meeting at the conference hall at Yizhou hydropower station. The two hydropower station leaders sit at the very left of the picture, on the same side of the table as the author and professor Luo Shiming. On the other side of the table most forward in the picture sits the representative from Shaoguan EPB, then Prof. Cai from South China Agricultural University and lastly another representative from Yizhou hydropower station (Picture taken by Prof. Kong 2013). An EIR was published in 2009, of which a simplified edition was translated into English by two students at South China Agricultural University. In this report nothing is stated about PP, only 43

44 impacts, state for the environment and the predictions for the future ecosystem are evaluated (Institute of pearl river water resources protection science 2009). The full interview with Yizhou hydropower station leader can be seen in Appendix A Lishi Fishing village: With its close proximity to Yizhou hydropower station, Lishi fishing village, 3,32 km north of Yizhou hydropower station, is greatly affected by the operation this hydropower station. Picture 7: Two of the five PEIA cases visited - Yizhou hydropower station located south on the picture and Lishi fishing village 3.32 km upstream from the hydropower station. Yizhou hydropower lies on the wujiang river 6 km northwest of Shaoguan city (Google Maps 2013). Before the interviews were done, the author was shown around the village. The residents told the author that they have experienced rising water table, ruining their homes and crops, forcing them to move further up above the water table into houses constructed by the local government. They have been reluctant to do so, but deemed it necessary when the water table got to high. The residents explicitly stated that the new houses, they were forced to move into, where in unacceptable shape, which is why the residents, at present moment, are applying for compensation for this renovation. 44

45 All in all the residents of the village are very unsatisfied with the present situation. They are in the opinion that the construction was done without inclusion, that the government lied in regard to the amount of compensation and that their ideas were never really listened to. One fisherman formulated it like this: There are still a lot of conflicts. The three representatives (of the village) sign an agreement for the building of dykes along the river. But we don t know what is the reason, but one or two years later, they changed the whole plan. The houses build as compensation for other fishers are also in bad shape. (Appendix E: 12.35) and If they had asked about our opinion we would have liked to discuss the building of a dike around the area or a harbour to protect our boats from heavy rainstorms (Appendix E: 08.25). The fishing families were also not asked for their opinions regarding the impacts and the state of the environment, as the enactment of the SEPA guidelines entitled them to they were only addressed regarding the compensation: Yes they came. To hear about compensation. There were no room for discussion, only about if I agreed of not. (Appendix E: 1.00) Picture 8: Showing Lishi fishing village located 3.32 km upstream from Yizhou hydropower station ( ed to the author by Prof. Luo Shiming 2013). At Lishi fishing village two fishing families were visited and interviewed. The picture below is taken right after the last interview in front of the fishing families house. 45

46 Picture 9: Showing the front of one of the fishing families home in Lishi fishing village. The picture was taken right after the interview was done. To the very left are Prof. Cai and then Prof. Luo Shiming from South China Agricultural University. The grandfather is holding the child and the grandmother is standing next to the author to the very right (Picture is taken by Prof. Kong 2013). Before commencing the interviews, Prof. Luo Shiming, who were friends with one of the fishing families and had worked with the site before and therefore had great knowledge on this part, explained some specifications of the site: - The village consists of app. 30 people living on the very shore of the river. - The fishers earn their money from fishing at night and selling the quantities in the morning. - The quantity of fish per catch have been dropping during the last couple of years, which is why a no-fishing season has been implemented to accommodate the decreasing number of fish. This means that the fishers can only fish half the year, which is why they receive a compensation of 500 Yuan (around 85 dollars) a month during the no-fishing season. - The fishers furthermore receive Yaun (around 600 dollars) per year as oil subsidies for their boats. - Sons and daughters of the families move away to the city during the no-fishing season to earn money. 46

47 - 90 % of the residents in fishing villages around Guangdong have not signed up for a medical insurance. This was the case with the interviewees. - Around 90% of elderly people in fishing villages around Guangdong have not signed up for an elderly pension, which means that this majority receive less than 100 Yaun a month (under 17 dollars) from the government. This was the case with the interviewees. The full interviews with the two families from Lishi fishing village can be seen in Appendix E. Mengzhou hydropower station: Also a part Wushui Cascade Development Program, Mengzhou hydropower station is located 10km southwest of Shaoguan city on the Beijiang river (Picture 5). It has half the capacity for electricity generation as Yizhou. The interview was done in the conference hall of the administration building and the same EPB that was present during the Yizhou hydropower station interview, was also present at this interview. Picture 10: Was taken right after the meeting at the conference hall at Mengzhou hydropower station. To the very left is the representative from Shaoguan EPB, then the owner of Mengzhou hydropower station, the author, 47

48 Prof. Luo Shiming, the other owner of Mengzhou hydropower station and then Prof. Cai on the very left (Picture is taken by Prof. Kong 2013). Before the interview, the author was told by the owner of the hydropower station that the construction was finished in As the EPB also explained at Yizhou hydropower station, PP was not a requirement at that time, so the EIA process, finished in 1989, did not include the opinions of the public. After the enactment of SEPA guidelines in 2007 Mengzhou hydropower station was also obliged to publicise environmental protection measures and public assessments according to that of the guidelines. The hydropower station leader was very helpful and supplied the author with the actual questionnaires used for the public assessments. Pictures were taken of these and subsequently translated by Prof. Luo Shiming: Picture 11: Showing the actual questionnaire for PP during the Interim EIA process on Mengzhou hydropower Station commenced after 2007 (Picture taken by Prof. Kong 2013). 48

49 !""#$#%&#'()*#&+),-%$) Agricultural Bureau of Zhengjiang Region, Shaoguan.'/%&#'() Shaoyao Road XX, Shaoguan City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o strengthen the dike construction and improve its flood control ability and at the same time to prevent internal inundation behind the dam. *+&#,)&(%+'-".%&'()',)%/&$)0+'1#.%)!"#$%&'(&)*+,')-(+."*/01)-+2,+345%)6)7"%+8(,(&)*99+ ) Table 1: Showing the translated version of the questionnaire for PP at Mengzhou hydropower station (Picture 12). In the very top of the document the responsible EIA-team is listed: Agricultural Bureau of Zhengjiang Region. Below is the location of village stated right above the person s telephone number. In the following multiple choice questions a V put where the citizen agrees with the statement. The last part of the questionnaire is left for comments and a brief summery of the project (The translated table was made by Prof. Luo Shiming 2013). 49

50 First of all the questionnaire shows that the interviewees are anonymous and also that the interviewees telephone numbers are present. The table furthermore shows that the Agricultural Bureau of Zhengjiang Region developed the EIA and that the participant, answering the questionnaire, answered: 1. Know of the project. 2. Agrees with the project. 3. Is satisfied with the presents environmental situation. 4. Thinks the regional environment has improved. 5. Finds no environmental problems. 6. Has not experienced any environmental problems. At point 8 the respondent further suggested: To strengthen the dike construction and improve its flood control ability and at the same time to prevent internal inundation behind the dam.. The last part of the questionnaire consists of a very brief description of the project. The full interview with Mengzhou hydropower station leader can be seen in Appendix B. Beiwai village: Lastly a village leader by the name of Xiao Rong was interviewed from Beiwai village 15 km north of Zhongshan city to the very south of Guangdong Province (Picture 2). Picture 12: Showing the location of Beiwai village marked with red arrow approximately 15 km north of Zhongshan city. 50

51 Xiao Rong described that Beiwai village has about 400 resident (Appendix F: 4.00), who mainly have a regular job in the city, with a satisfactory salary leaving the residents neither poor nor rich. 90 % of the villagers own their own house, which by the look of them seemed in very good shape. Picture 13: Showing the houses of Beiwai village (Picture was ed to the author by teacher Mai 2013) Xiao Rong has been a village leader for 5 years (Appendix F: 4.20) and, as stated during the beginning of the interview, he has an education from primary school - now studying at senior school - and is almost full time engaged in the variety of work a village leader must manage: keep the village clean and safe so people can be happy. Sometimes we also have meetings in town where information is given by the government. Also I have to know what the villagers want, so I have to be available to them during the day. Many questions concern the agricultural land, which the village owns. ( ). The young people of the village go to the city to earn money while the old people stay home and take care of their grandchildren. So my work often is about listening to the old people what they want. (Appendix F: 0.30) Before arriving at the Beiwai village, teacher Mai described the history of the EIA process to the author, with teacher Sophie as translator: The village have been engaged in an EIA process concerning a planned highway construction from Guangzhou to Zhongshan city. Three months after the EIA process began in 2010, the construction was approved, which is quite fast in Chinese standards. The construction is projected to begin in The initial and proposed location of the highway was very close to Beiwai village and originally it was planed to go through a forest area which is very sacred to the villagers, due to feng shui of the village (a believe that the laws of Heaven and Earth help to improve life by providing positive energy; this believe is widespread in 51

52 China and is a key element of any urban design in China) as well as due to the respect of the ancestors buried near. Picture 14: Showing the forest behind Beiwai village, which is sacred to the citizens. The highway was originally scheduled to go through this area, but, through the EIA process, the villagers complained resulting in a relocation of the highway (Picture ed to the author by teacher Mai 2013) Through the EIA process extensive complaints was therefor expressed by the residents of Beiwai village resulting in a relocation of the highway 200 meters north, away from the forest. The forest Beiwai village Picture 15: Showing the original location of the highway (below, vaguely marked) and the new location (above, clearly marked). Initially the highway was situated through the forest of which is important to the villagers of Beiwai village. The new location is 200 meter north, but will gradually join the original course of the highway, after the forest area is past (Picture was ed to the author by teacher Mai 2013) 52

53 Village leader Xiao Rong concludes that the village are very content with the final design of the highway construction: We prefer to have the highway here. It s more convenient. We don t think it will affect our lives very much. The noise and the air pollution is acceptable because of the location above the village. Before, when the construction was planed to be build elsewhere, we were very much against it, as the pollution would be more (severe) and the noise as well Summary From the fieldwork with the EIA-team, information on the EIA process and the inclusion of PP was gathered. After the EIA-team is hired by the developer, they read laws in relation to the highways and thereafter visit the site. Residential areas, schools, hospitals and prisons within 200 meter are considered sensitive areas and are the only areas where PP is included. The impacts accounted for in the fieldwork investigated, and therefor listed in the questionnaire, would most definitely concern noise, air pollution and water pollution. Citizens are addressed either through their local village leader or directly by the EIA-team, with a document wherein the citizens is able to read about the project, the impacts and the state of the environment and furthermore state what impacts they fear the most and what suggestions/complains they might have. If the village leader do not agree to be the mediator between the citizens and the EIA-team, the acceptance among citizens toward to the project will be low. A presentation of the project would be put on the internet and posted in the areas classified as sensitive, 10 days prior to the disclosure of the questionnaires. People that complain in the documents will be addressed either by the EIA-team or the construction company to solve the disputes. Sometimes these disputes can be solved by initial talks with the people, but in more serious cases of, direct compensation might be necessary, whether in the form of direct monetary compensation or indirectly by prioritizing mitigation methods higher. The public will not further be included in the EIA, but they can read a summary of the EIR, wherein the responses to their complaints and suggestions are accounted for, at the governments website and at the village after the EIA process is finished. As the hydropower stations were approved for construction before the implementation of SEPA guidelines in 2007, the EIA process should be seen in this light. The public were only asked for their opinion after 2007, where these hydropower stations was already approved and built. This was due to the enactment of SEPA guidelines, where from these hydropower stations were obliged to publicise an EIR, which was not demanded beforehand, forcing the hydropower stations to 53

54 commence many of the EIA measures they had not done before, here among a more detailed PP part. The cases therefor provide information on an interim EIA process commenced after 2007, on constructions finished years ago. The two cases still provide information about the measures for inclusion in EIA and also how the interim EIA process was experienced by the fishing community. The actual questionnaire used to ask the public for their opinions on the impacts and the state of the environment, was obtained at Mengzhou hydropower station, which the EIA-team also used during the OEIA. The fishing community is a very poor community and were overlooked during the interim EIA process, as they were not allowed to contribute with idea for mitigation, were forced to move home, did not receive sufficient compensation and were not included what so ever, even though the enactment of SEPA guidelines provisioned for this. Beiwai village, which is relatively lager and richer than Lishi fishing village, complained during an EIA process of a highway and thereby changed the location of the planed highway construction. In this way, the village was very satisfied with the EIA process, which lasted tree months. 7. Theoretical framework for EIA in Guangdong Province By using frame 1 against the interviews with teacher Sophie, teacher Mai and the hydropower station leaders (Appendix C and D) and the OEIA observations (chapter 6.2.), as well as the SEPA and provincial guidelines described chapter 5., the Theoretical frame of when PP is included, from start to end, can be summarised. 54

55 ß PP1 Public Participation 1: Proponents publishes a small presentation of the project for the public 10 days before the EIA process begins ß PP2 ß PP3 Public Participation 2: After information has been disclosed to the public in minimum 10 days, the EIA-team consults the public, during the review of the draft of the EIR, with a questionnaire about the impacts and mitigation Public Participation 3: After the actual EIA process is finished the EIR is then sent to the government for approval and a simplified EIR is published for the public for minimum 10 days before the project can be approved Theoretical frame: Illustrates the timing of PP. The Theoretical frame is made by taking the Frame from the initial meeting with the EIA-team the 16 th of May (chapter 5.3.) and using the empirical data gathered from the interviews with the EIA-team and the hydropower stations leaders and the data gathered from the EIA fieldwork, to determine PP1, PP2 and PP3. The Theoretical frame shows that PP is included 3 times, first time (PP1) before the actual EIA process begins, second time (PP2) before the conclusion of the EIR is made and third and last time (PP3) after the EIA process is finished. This Theoretical frame will be used as reference point for the analysis, as to give the reader a better overview of where in the EIA process the analysis takes place. It is important to notice that SEPA and the provincial guidelines (chapter 5.) do legislate on the timing of PP (chapter 5.4.), and that the 55

56 interviews with the EIA-team leaders and the observations during the EIA fieldwork is in line with these regulations. In the beginning of the first stage of the Theoretical frame the EIA-team accepts the proposition from the owner of the construction, on conducting the EIA. According to teacher Sophie, at this initial stage of the EIA process, the public is shown information about the project from the proponents, 10 days prior to the actual beginning of the EIA (PP1 in the Theoretical frame): Ok, the first is when the owner of the project makes sure which construction corporation (is) to do the project. After that, in 10 days, they make a notice for the public, in any form. There are no specific guidelines for how to make this notice. You can make an advertisement in the (news)paper, on the internet or just make a notice around the village. (Appendix C: 0.00). This corresponds with the provincial guidelines (chapter 5.) of disclosing information of the project 10 days before the EIA process begins. After the EIA-team is hired, it commences the whole first stage without consulting the public. This means that they also determine operational rank, evaluation scope and criteria, which is the last step of the first stage of the Theoretical frame. With reference to chapter 3.1, the EIA-team formulate ToR on the basis of these measures. This takes place in the initial step of the second stage of the Theoretical frame: formulate the working program. The fieldwork, of which the author participated in (chapter 6.2.), was then commenced at the following stage environmental investigation, monitoring and assessment within evaluation scope where after, between the second and the third stage, during the review stage, the EIA-team, in their first and only physical contact with the public, ask for opinions of the public (PP2 in the Theoretical frame) regarding the impacts, mitigation measures and lastly their approval of the project, which was also shown in the questionnaire from Mengzhou hydropower station (Table 1). In the form of a simplified summary of the EIA findings, information about the project is disclosed by the EIA-team to the public 10 days prior to questioning them: So only 10 days after the announcement of the results then you can conduct the interview for the 70% (people included in the EIA process). Because we assume that after these 10 days all affected public already know and then you can begin to ask them. (Appendix D: 13.05). This information disclosure, prior to questioning the citizens, was also expressed by teacher Mai during the EIA fieldwork (chapter 6.1.). The information gathered from the questionnaires makes it possible for the proponents to refine the 56

57 project design, as to accommodate an acceptable approval rate in order to get the project approved for construction. Timed right after the actual EIA process is finished (PP3 in the Theoretical frame), the EIR is then sent to the government for approval and a simplified EIR is likewise published for the public for minimum 10 days before the project can be approved: So after we have settled all the different ideas, then the new design come out. So then there would have been finished all the EIA procedures, because all the ideas you have listened to and also considered and revised the design. So we will come to the final evaluation stage. So we will invite some experts from outside and the officials from the environmental protection bureaus, also the owner of the project, so they (the EIA-team) will handle out the final EIA report and they will give some evaluations, so that it can be passed or not. And before the meeting we will already post a simplified version of the report for the villagers ( ) (Appendix D: 31.25). 8. Analysis To answer the Problem formulation To what extend are the public being included into the process of the development of EIA in regard to construction processes in Guangdong Province, China?, the inclusion of PP will be analysed in sections according to when the public is included in the EIA process, how they are being included and who of the public that are being included. Lastly the participation level will be summarized according to Arnstein The Theoretical frame will be used throughout the analysis as reference point to the timing When According to the theoretical chapter 4.1., information disclosed at a very late stage in the EIA, makes for an insignificant and ineffective utilization of public influence. PP1 is the only PP that comes at an early stage, but is limited to only providing information to the public and not including them any further. This was also experienced by the residents of Beiwai village, who got very limited information from the government at this initial stage: But we did not know what exactly it was, where it would be built and how and other details of it was never mentioned. (Appendix F: 12.50). As part of the EIA process, a Prof. Zhang however came to the this village two times, the first time to talk to these people about the project in more details: We first knew the details, when 57

58 professor Zhang (from Zhongshan University EIA-team) came to the village and told us of it - where it was planned to be built. She asked us of our opinions. (Appendix F: 12.50), prior to delivering the questionnaires So I (village leader Xiao Rong) told professor Zhang (that the villagers disagreed with the original location of the highway) and then she proposed another solution some days later where the highway was at another location. I thought this was good. Professor Zhang then came to our village again with questionnaires and all people agreed with that. (Appendix F: 17.44). The citizens of Beiwai village were therefor included into the EIA process according to the Theoretical frame, by given information about the project a few days before the questionnaires were given, which subsequently led to a refinement of the project with a large majority of the citizens supporting it. PP2, which is the only time the public are deliberately asked for their opinions, is utilized at a very late stage, the review stage. Here the purpose is to evaluate the completeness of the report in regard to correct and sufficient information, valued against ToR set in the scoping stage (chapter 3.1.), where no PP was included according to the Theoretical frame and all the other empirical data gathered. The timed setup therefor seems ineffective as to let people have influence a broad spectrum of issues, as their opinions can almost only be concentrated toward predefined categories of impacts and mitigation measures. The late timing therefor also impedes the possibilities of choosing alternate solutions to the project, of which the public might provide important input to (chapter 3.1.). At Beiwai village the citizens were however happy with the information given and the content of the questionnaires: Question: Where you happy with the information given to you by professor Zhang and also on the questionnaire? Village leader Xiao Rong: Yes (Appendix F: 23.30) This support is linked to the initial talk between the EIA-team and the village leader prior to delivering the questionnaires, which led to rapid agreement between the proponent and the citizens on the relocation of the highway. As described in delimitations chapter (chapter 2.4.), this case probably represents a positive example of how EIA have been experienced in Guangdong Province. However with focus on Lishi fishing village, the citizens never did get contacted after 2007, where the implementation of SEPA guidelines provisioned for it, which led to a strong opposition to the construction. The citizens were only contacted before the construction began: Many years ago. I can t remember. Before the building of the dam began. (Appendix E: 1.35), which was purely 58

59 about compensation: I have met them 3 times where we have discussed about the compensation. Two persons came, but I don t know where they came from (Appendix E: 2.00). This discrepancy leaves a big question as to who was included in PP at Yizhou hydropower station, if not the fishing village, 3 km upstream, was. This will be elaborated on in the subchapter Who in the analysis (chapter 8.3.). PP3 is timed according to that of UNEP (chapter 4.1.), where a simplified EIR is posted for the public in 10 days, before the construction can be approved. This is also in line with the experiences in Beiwai village: Also after professor Zhang was here, the government came to me and asked me to put some information about the project up on the village. It was information about the project, how the final construction would be. (Appendix F: 26.00). With reference to UNEP s minimum requirements on PP in EIA (chapter 3.1.), the timing of PP during the whole EIA process in Guangdong Province can be summed up as such: It allows for public notification and access to EIA documentation, but does not let the public comment on the scoping stage of the EIA process, of which is fundamental to any meaningful public involvement according to UNEP How According to the Theoretical frame, the public is included three times during the EIA process and only during PP2 is the public deliberately asked for their opinions. The other two times is concentrated purely on informing the citizens, where they also have the obligations to contact the proponents in case of doubt or disagreement (chapter 6.2). Though a bit simplified, PP can be summed according the EIA s three ways for inclusion (chapter 4.1.): one-way information at PP1, two-way information at PP2 and one-way information at PP3. As stated in Arnstein 2004 in the Tokenism category (chapter 4.2.) one-way information cannot stand alone as only mean for inclusion, but does so during PP1 and PP3. The public is hereby provided with inappropriate measures to participate on an enlightened and practical level during PP1 and PP3, which might explain the general lack of knowledge the public possess about the projects: Many times they just misunderstood. They just think it s not good. Then we will contact them and make some explanation. (Appendix C: 17.20). Further more, through the theory of 59

60 Arnstein 2004, PP is recognised as the extend to which citizens are being deliberately included into the future planning (chapter 4.2.), within which one-way information in principle can be seen. However in Guangdong Province this one-way information during PP1 seems very limited and therefor exclusive toward the public, as experienced in Beiwai village where they expressed lack of knowledge toward the project from the initial information dissemination from the government: We knew something from the government in the beginning. But we did not know what exactly it was (Appendix F: 12.50). It was only after the EIA-team provided the details, that the citizens was able to value the project critically: We got the detailed information from professor Zhang, when she visited us. Then I had a meeting, with all the villagers, to tell them about the project and give them a map ( ) (Appendix F: 17.44). The provision for contacting the government through contact information during PP1 and PP3 was also not used in Beiwai village either, even though the citizens initially were unsatisfied with the project design. This signifies that such one-way information measures vaguely encourage for any participative inclusion in Guangdong Province: Question: Did you have contact with the government or the construction company or this EIAteam other time than during the time where the questionnaires were given? Village leader Xiao Rong: No I did not. (Appendix F: 29.00) The proponents of the project therefor share little information with its citizens until the EIA-team contacts them during PP2. The government therefor sets the stage for the level of enlightenment among the citizens, through one-way information put up mainly on the government web side and in the village community (Appendix B: 3.50). Only communities with a high degree of participative capacity to organise their competences within the community to press for their priorities, and demand more fulfilling information, will have the opportunity to participate in the initial stage of the EIA process and thereby set the frame for the further EIA work. A higher degree of PP is therefor especially important when it comes to poorer areas, such as the fishing village, where educational- and social security level is lower (chapter 6.2.) and where these people might not even know of their EIA rights, which, according to Tokenism (chapter 4.2.), is a prerequisite for PP. But at Lishi fishing village no answer sheet was given to ask for the satisfactory among the public, nor was one-way information about the project disseminated what so ever: Nothing was posted here. They only came and talked about compensation. (Appendix E 12.00). This lack of participation might either have to do with insufficient enforcement EIA procedures common in 60

61 transitional and developing countries (chapter 3.1.) or it can be contributed to the interim and therefor unorthodox EIA process, derived from the implementation of the SEPA guidelines, forcing some developers to commence EIA s on constructions already build. However Yizhou hydropower station leader did mention that they had asked the opinion of the villagers down- and upstream (Appendix B: 22.25), which hints at that the exclusion was intentionally. According to the Theoretical frame, and also experienced in Beiwai village, during PP3 a simplified EIR is announced at the village site and at the government website and if the public want to se the whole report, they can apply for it and they will usually be allowed to see the whole report. (Appendix B: 5.00). Only after 10 days of this last disclosure of the simplified EIR, can the construction be approved. In the meantime the government get together with external experts and the EIA-team to discuss the final design of the construction and whether the opinions of the public have been rightfully rejected or accepted, which is in correspondence to the IAIA s basic principle. ( ) and their inputs and concerns should be addressed explicitly in the documentation and decision making (Appendix K: Participative Principle). Due to lack of knowledge on the construction process, partly as a result of weak inclusion means and the limited number of inclusion processes, the public might find the details of the whole EIR and also the simplified EIR difficult to comprehend, especially in poorer areas, such as Lishi fishing village. However the opportunity to acquire the simplified report is a strong mean for valuing the degree to which the opinions of the public, the impacts and the mitigation measures have been dealt with satisfactorily. The village leader at Beiwai village did download the simplified EIR and was very satisfied with the opportunity to look into the final design and see if it was in accordance with the mutual agreement between the government and them: Yes I have. It was important to see what the final result of the project was, and if they had listened to us and added to the project the demands we had. They had (Appendix F: 27.45). The availability of the simplified EIR also makes for a great foundation for a post-objection process during the monitoring of the project. The EIA process should, according to UNEP, include a postdecision stage after the construction have been approved (chapter 3.1.), where the monitoring of impacts and mitigations measures are commenced and where the proponents of the project is in contact with the citizens. A similar monitoring process is commenced by the EIA-team interviewed in this report. Here focus is directed mainly toward monitoring impacts and mitigation methods and 61

62 to a lesser extent PP, as the EIA-team at this stage passively accept ideas from the public. Not invite them (the public) to participate. (Appendix D: 52.20), which in the Beiwai village case has resulted in, that the citizens are not engaged in any activities with the proponents of the project, now that EIA is finished: Question: Now that the EIA process is finished, do you still talk or keep in contact with the construction company or the government or other actors related to the highway? Village leader Xiao Rong: No (Appendix F: 11.40) In Beiwai village they expect soon to negotiate with the government about the compensation: ( ), but the negotiation on the compensation for the land acquisition has not begun yet. ( ) (Appendix F: 24.30). In such case, the availability of the simplified EIR brings security to the citizens as for them to uphold the government on their promises. As told during the OEIA (chapter 6.2.), before the investigation at the site (during environmental investigation, monitoring, assessment within evaluation scope stage in the Theoretical frame) guidelines and regulations where read, determining how the EIA should proceed, thus determining ToR (which was commenced at formulate the working program in the Theoretical frame). Instead of including the public during ToR, as recommended by UNEP (chapter 3.1.), ToR is developed on the back of predetermined standards from specific regulations on water and air pollution, for noise, and for pollution control, and for cleaner production, for circular economy (Appendix D: 0.00), thereby making ToR more or less fixed according to the nature of the project, leaving little room for public influence on issues unrelated to the standards. As PP2 is the only time where people are deliberately asked for their opinions, this stage is crucial to the public, as to have influence on the EIA process. As noted in the analysis subchapter When (chapter 8.1.), PP2 comes very late, at the review stage, leaving little room for actual public influence, as the project design have already been decided for. But also the measure, as to how people are included, puts restrictions on the degree of public influence on the EIA during PP2. With reference to OEIA (chapter 6.2.), the public was given a questionnaire where upon they could rate the impacts uncovered according to how high they valued the severity of them. The sheet also contained an area for other comments. This is two-way information, but limited to certain impact categories chosen by the experts basically on the basis of standards, which is restricting in it self as to accommodate 62

63 room for new inputs from the public on impacts but also in regard to other aspects of the EIA process, such as: Alternatives, information on the local state of the environment, mitigation methods, monitoring, how the public would like to be included, the design of the EIA, the design of the construction, local customs and attitude toward the project etc. Information on these aspects could be quite beneficial to the overall EIA process. The room for other comments on the questionnaire is really the only formal procedure in the whole EIA process that leaves room for such free thinking. However according the Tokenism category of Arnstein 2004 (chapter 4.2.) the participative capacity of the public is strongly bound to the quality of technical assistance they have in articulating their priorities ( ) and therefor questionnaires like these cannot stand alone as only measure, given that the public do not have the expertise to judge the dangers at hand. Therefor the information supplied minimum 10 days before the questionnaire is handed out is regarded as a good measure before questioning the citizens. The combination of these two types of inclusion is also stressed as ideal in the tokenism category (chapter 4.2.), as to bring about inputs from the public. It can however be speculated on, if this information disseminated before PP2 is enough to enlighten and inspire the public to participate on an engaged level, as only one one-way information (PP1) has been provided beforehand. According to teacher Mai during the EIA fieldwork, the answers from the questionnaires and the comments from the public in general, reflects a lack of knowledge of the projects normally the objection come from people not knowing enough about the project (chapter 6.2.). With this lack of knowledge it is difficult to be critical toward projects as such, which might explain Yizhou hydropower station s survey where 100 % of the interviewers said that they were satisfied or relatively satisfied with the project (Appendix B: 22.25). At Beiwai village the inclusion process was a success and was done in accordance to the Theoretical frame. The EIA-team visited the village before the questionnaires were given out, allowing the community to digest and discuss the proposition, which exemplifies UNEP s statement that projects with public involvement and consultation are more likely to avoid costly delays in appraisal and difficulties in obtaining needed permits or licences. (chapter 4.1.). That the EIA process was a success in terms of satisfied citizens and a shorter EIA process, might be contributed to this PP approach, but could also be because the citizens had a very strong case (with reference to feng shui and their ancestors cemetery), that might not have had the biggest economic consequences to the overall highway construction. The village leader explains the inclusion as such: 63

64 We got the detailed information from professor Zhang, when she visited us. Then I had a meeting, with all the villagers, to tell them about the project and give them a map (of the location of the highway supplied by professor Zhang). The first thing the villagers cared about was land acquisition and how would they be compensated for that. Because the government had to have 2/3 of the villagers approval before they can make land acquisition. The villagers thought that the highway was to close to the village and would also destroy our mountain where many of our ancestors live (would result in bad feng shui). So I told professor Zhang and then she proposed another solution some days later ( ) (Appendix F: 17.44) 8.3. Who The included public in the EIA processes investigated in this report are from the impacted areas, which are provisioned for in accordance to guidelines: Yes there are guidelines for different cases on who should be included. About the water, about the air, about the sound and about the soil and about the underground water. They have different guidelines on what areas should be taken into consideration for public participation. (Appendix C: 25.35). At the OEIA the included public was residents living within 200 meters of the highway construction (chapter 6.2.) and at the hydropower station it was the most sensitive areas within 3 8 km downstream and up stream of the dam, according to how big the dam is. (Appendix B: 30.20), even though the fishing village, within 3 km of the hydropower station, was not included during the interim EIA process. According to the participative principle (chapter 4.1. and Appendix K) also interested parties should have opportunity to participate, which is not something encouraged for during the cases investigated in this report. The EIA process might therefor loose knowledge from such groupings, which might be eager to disclose it. According to provincial guidelines minimum 70% of the affected public areas should be included in PP and within these 70% should the most sensitive areas be included, according to the core grouping which is determined in regard to the closer the more sensitive, the second on is the scale of the village, if it s a big scale, then it must be included. The third one is those who their house have to be removed or the land has to be occupied (Appendix D: 59.00). That the fishing village was not part of the 70% included to participate leaves a question mark as to why, as, even though the village is of small seize, it is close 64

65 to the hydropower plant and their houses had to be removed. The fishers furthermore showed a willingness to participate: ( ) If they had asked about our opinion we would have liked to discuss the building of a dike around the area or a harbour to protect our boats from heavy rainstorms. But they did not do this. They did not talk with us in detail about the project. Our opinion were not considered. We feel very sad about this (Appendix E: 8.25). The exclusion might have been deliberate. The fishing village is very small, and they are among the weakest people in the Chinese society, leaving them with scarce resources to object. And with their critical approach to the hydropower station, the fishers would most definitely not have contributed positively to the approval rate, making the village an obstacle to the approval of the continued operation of the hydropower station: In order to talk with the construction site, we selected tree persons and we have complained and now maybe they will raise the compensation level. There are still a lot of conflicts. The three representatives sign an agreement for the building of dykes along the river. But we don t know what is the reason, but one or two years later, they changed the whole plan. The houses build as compensation for other fishers are also in bad shape. So we called for television to show this and the government fixed the reconstructions of the houses (Appendix E: 12.35) This statement however also illustrates that within Guangdong Province, even the smallest of groups in society, can reclaim attention and change processes in a beneficial way. Protests from the citizens from weak EIA processes are in general becoming more and more prominent in Guangdong Province, which is felt by teacher Sophie by extensive attention toward her work: Yes many times. To much now. Sometimes even ourselves become a person in the newspapers. For example one of the highway systems we do the EIA for. The person in charge of the EIA of this project now has become a person in the newspaper, because he got so many complaints. So now he is in trouble. (Appendix C: ) 65

66 In cases of disagreement between the citizens and the proponents, matters are sorted out through a conference, so the people against and agrees will get together, the government will sit there, the EIA person will sit there and talk and tell why. (Appendix D: 27.50) and the project can only be approved if the the percentage against the project is less than 5% (Appendix D: 27.50). An approval rate level of minimum 95% is thereby set to accommodate substantial disagreement from the public toward the projects. This approval rate is of significant importance to the EIA process, as projects cannot be approved if the acceptance level is below 95%: Even sometimes the public is still against the ideas, so in general if the percentage against the project is less than 5%, the to project can be approved. It is not something written in the law its experience. If its more than 5% its hard to get approved by the government. (Appendix D: 27.50). This approval rate actually puts the public among the decision-making parties, which should be recognised as a strong methodological tool. However during the inclusion in Beiwai village, the village leader Xiao Rong experienced, that the government should only have 2/3 of the village support: Because the government had to have 2/3 of the villagers approval before they can make land acquisition. (Appendix F: 17.44). This inconsistencies in statements cannot be accounted for in this report. With reference to the Tokenism category (chapter 4.2.) it is often a problem that the government handpick citizens to collaborate in decision-making boards. In relation to the concrete participant selection process, the EIA-team, during PP2, contacts the representatives at each village where after they will contact the people in the village what their opinions are. (Appendix B: 26.15). As expressed by the hydropower station leaders and as told during the highway construction (chapter 6.2.), the people answering the questionnaires are therefor not chosen by the EIA-team, which should be recognised as a positive method as to obtain an unbiased representative of the affected public. According to the EPB, this method should be valued highly by the EIA-team as If they (licenced EIA-team) choose some people not by random method they will get in trouble, because the method is wrong. (Appendix B: 9.45). This method should also be valued as a strong asset to the EIA process, basically lifting the PP, on this point, above the means mentioned in Tokenism (chapter 4.2.), where authority often handpick worthy citizens. Lastly the relationship between the village leader Xiao Rong of Beiwai village and his citizens should be illuminated, as this relationship actually is in line with the highest category on Arnstein 2004 Citizen Power. This is due to the democratically election of the village leader, making this 66

67 person strongly accountable to the satisfactory among the citizens: This is my second term. Each term is 3 years (Appendix F: 4.20) Degree of public participation In regard to Arnstein 2004 one-way information, happening at PP1 and PP3, with no other forms of inclusion strongly correspond to the Non-participation category or below of the latter. With provision for responses to the proponents here, should level the EIA practice in the high end of this category, but as the citizens does not make use of this, in the cases investigated, makes this method pure provisional. To use Arnstein's own term, this method proofs that citizens are involved, while they actually are not. At the Tokenism category the citizens are listened to, which is why PP2 should be categorized at least here. However looking beyond Tokenism, toward Citizen Power where planning and decision making responsibilities are shared between citizens and power holders, seems unfair in regard to the participation obligations citizens have according to the Theoretical frame but also experienced during the PEIA. The citizens lack assurance of any real influence. The public can state their opinions through questionnaires, but the room for negotiation is slim due to the late inclusion in the EIA process, where ToR have already been set. The lack of technical assistance and economic resources further impedes the inclusion process as to withhold the inclusion process below Citizen power. In the Citizen power category the boards for decisionmaking should have public representatives included, which is not the case in in the cases investigated in this report, as it is up to the proponents and experts to make the final decision on the approval, although this can only be done in accordance to an approval rate among the public. Such an approval rate is described in the Tokenism category, as here attitude surveys from questionnaires often is used as a mean: The authority accepts the EIA process on the basis of an approval percentage. The random selection of the respondents to the questionnaire among the public represents a strong methodological approach and actually raises the inclusion process to the highest degree within Tokenism, where people often are handpicked to participate. According to the Theoretical frame and the experiences among the citizens of Beiwai village, PP investigated in this report, should be categorised somewhere in the lower end of the Tokenism category. However the citizens of Lishi fishing village did not experience any inclusion, which leaves them included below the Non-Participation category. 67

68 Analysis results When How Who The degree of public participation According to the frame and Beiwai village, PP is being included three times: first time 10 days before the EIA process begins, second time during the review stage, third and last time while the EIR is sent for approval. After 2007 the citizens of Lishi fishing village did not experience any PP, as they should have according to EIA procedures. According to the frame and Beiwai village, first time of PP is one-way information from proponent to citizen through information put up on the village and on the internet. Second time of PP is two-way information, where information is given 10 days prior to the publics are asked for their opinions through questionnaires. Third time of PP is when the simplified EIR is disclosed for 10 days before the project can be approved. Lishi fishing village was not disclosed of any information, neither oneway nor two-way. People impacted by the project are included in PP. Interested parties are not included. 70% of the impacted public areas must be included and an approval rate must be accommodated before the project can be approved. The fisherman village was not included, even though they should according to statement from the EPB. The statements from the EIA-team and the citizens of Beiwai village are accordance to the Tokenism category, and to a lesser degree Non-participation. Fishers experienced PP below the Non-participation category.! Table 2: shows the findings from the analysis divided into three categories for PP (When, How, Who) and subsequently categorised according to Arnstein Conclusion The investigation of this report reveals several characteristics to the inclusion of PP in EIA in Guangdong Province, as to when, how and who is included. By comparing the practical work with PP in EIA to international experiences and the theory of Arnstein 2004, this project shows how the implementation of PP within EIA is practiced in Guangdong Province, and thereby answers the 68

69 problem formulation: To what extend are the public being included into the process of the development of EIA in regard to construction processes in Guangdong Province, China? SEPA guidelines, along with provincial guidelines for PP in EIA, marks great contributions to more profound public inclusion in EIA processes in Guangdong Province, as these set the majority of preconditions for the practical work hereof. Methods, timing and participants derive from these regulations. A Theoretical frame for the inclusion of the public in EIA in Guangdong Province has been established from the interviews with two EIA-team leaders and two hydropower station leaders and through the participation in one EIA fieldwork investigation. Interviews with two families in a fishing village and one village leader, investigates the experienced inclusion among citizens engaged in EIA processes. According to the Theoretical frame the public are included tree times: First and the third time is pure information dissemination from proponent of project to the public, with obligation to contact the proponents in case of disagreement or doubt, although this was not done according to the experiences among citizens, even though they initially were unsatisfied with the project design. The participation process in between is more thorough with room for two-way information dissemination from EIA-team to citizens and the reverse. Information gathered from the public at this stage, is done through predefined questionnaires based on a scoping process where the public was not involved, which leaves sparse room for free thinking and new inputs to the EIA process. The timing of the second participation comes late, at the review stage, and the basic design of the construction have therefor already been settled, leaving little room for influence on the final design of the project. As the measures used for inclusion in general are not combined with other measures, such as group meetings or consultations, the participative capacity of the public to involve in PP on an enlightened level is low. On the more positive side, the methods for choosing interview participants during PP2 is done by random methods, leaving room for an unbiased representative of the impacted citizens. An approval percentage is used to assure that a sufficient portion of the public is satisfied with the EIA results, and in cases of disagreements, conferences are established where citizens participate along with the proponents and experts to solve issues at hand. The public can thus be said to be included as a passive instead of an active partner, ranging the extend of PP to the Tokenism category on Arnstein the public are informed with provision to participate, and to a lesser extend included deliberately. The approval of the project is granted 69

70 through the statistical abstractions of the opinions of the public, which is based on a weak knowledgebase, due to low quality inclusion means and late timing. The village leader of Beiwai village explained that the information disseminated during the first PP in Beiwai village was very limited, leaving the citizens with no real foundation to engage in the EIA at this initial and crucial stage of the EIA process. The citizens at Lishi fishing were purely contacted by the proponents of the project regarding compensation and was not shown any information about the project what so ever. These insufficient implementation issues could be based on either intentionality, low participative capacity in Lishi village or due to the special interim EIA process that was the basis for the EIA-process at Lishi fishing village. Either way the fishing village experienced PP below the lowest participation category Non-participation. This report thus shows that EIA-practice in Guangdong is done in a very top-down approach compared with international experiences, and the minimum requirements of EIA-legislations set the stage for the practical work with PP, although the enforcements of these requirements sometimes fail. Regulatory changes have to be made in order to incorporate PP better in EIA in the future in Guangdong Province. More extended regulations that affect the methods as well as the timing of PP would give the public a better foundation for participation, beneficial not only to the public impacted by the constructions, but also to the overall quality of the EIA process. By doing so, a great leap forward in the envisioning of balancing the economic reforms against the environmental degradation could be strengthened within the Province of Guangdong. 70

71 References Arnstein SR (2004): A Latter of Citizen Participation. Originally published as Arnstein, Sherry R. "A Ladder of Citizen Participation," JAIP, Vol. 35, No. 4, July 1969, pp Appendix A (2013): Interview with leader of Mengzhou hydropower station leader. Interview done 21st of May, 2013 at conference hall of Mengzhou hydropower station. Found on page Appendix B (2013): Interview with leader of Yizhou hydropower station leader. Interview done 21st of May, 2013 at conference hall of Yizhou hydropower station. Found on page Appendix C (2013): Interview with teacher Sophie of Zhongshan University EIA-team. Interview done 27th of May, Found on page Appendix D (2013): Interview with teacher Mai of Zhongshan University EIA-team. Interview done 8th of June, 2013 in a car after fieldwork, not related to this report. Found on page Appendix E (2013): Interview with two fishing families. Interview done 21nd of May, 2013 at Lishi fishing village. Found on page Bryman A (2008). Social Research Methods. Oxford University Press China Highlights 2012: Guangzhou Map. Visited: June 30 th Available at: China Water Risk (Unknown Year). Regulatory Institutions. Visited: April 21 th Available at: Council on Environmental Quality (2007): A Citizen s Guide to the NEPA - Having Your Voice Heard. Visited: April the 11 th Available at: Economy EC (2010). The River Runs Black The environmental challenge to China future. Second edition. Cornell University Press Standing Committee of the 9th National People s Congress: The Law of the People s Republic of China On Environmental Impact Assessments. October 28, 2002 Google Earth 2013: Picture of Shaoguan city within Guangdong Province. Screenshot taken: June 30 th Available at Google Earth application. Institute of pearl river water recourses protection science (2009): Simplified edition of Shaoguan Yizhou hydropower station environmental impact assessment report. Certificate 71

72 No.: National EIA Certificate No Can be downloaded at this link: zhou%20hydropower%20station.doc International Association for Impact Assessment (1999): Principles of Environmental Impact Assessment Best Practice. IAIA International Headquarters, rd Street South, Suite C. Fargo, ND USA Ip DFK (1990): Difficulties in implementing social impact assessment in China: Methodological considerations. Environmental Impact Assessment Review 1990;10: Moorman JL, Ge Z (2007). Promoting and Strengthening PP in China s Environmental Impact Assessment Process: Comparing China s EIA and U.S. NEPA. Vermont Journal of Environmental Law. Volume NIHMP (2012): Wang Yang, the Secretary General of the Communist Party of the Guangdong Province, visited Italy: We have a lot to learn from the European experience and from the NIHMP. Visited: July the 3 rd Available at: REPRESENTATIVES/Wang-Yang-the-Secretary-General-of-the-Communist-Party-of-the- Guangdong-Province-visited-Italy-We-have-a-lot-to-learn-from-the-European-experienceand-from-the-NIHMP Ning D, Wang H, Whitney J (1988). Environmental Impact Assessment in China: Present Practice and Future Development. Environmental Impact Assessment Review 1988;8:85-95 Slootweg R, Vancley F, Schooten MV (2001): Function evaluation as a framework for the integration of social and environmental impact assessment. Impact Assessment and Project Appraisal, Vol. 19, number 1, March 2001, p Standing Committee of the 9th National People s Congress (2002). The Law of the People s Republic of China On Environmental Impact Assessments TravelChinaGuide.com (2013): Shaoguan Travel Guide. Visited: July the 11 th Available at: UNEP (1992). Rio Declaration on Environment and Development. Visited: June 4 th Available at: 72

73 UNEP (2002): EIA Training Resource Manual. Second edition Ch. Topic 1 Introduction and overview of EIA. pp UNEP (2010). Environmental Impact Assessment and Strategic Environmental Assessment : Towards an Integrated Approach. Abaza H, Bisset R and Sadler B Wang Y, Morgan RK, Cashmore M (2003): Environmental impact assessment of projects in the People s Republic of China: new law, old problems. Environmental Impact Assessment Review 23 (2003) April 2003 World Bank Group (2012): GETTING TO GREEN - A Sourcebook of Pollution Management Policy Tools for Growth and Competitiveness. The World Bank. Washington, DC World Bank (2006). China Water Quality Management - Policy and Institutional Consideration. Visited April the 10 th. Available at: Wu R, Ruan W, Zheng S (2009): 30 Years f Environmental Assessment and Strategic Environmental Assessment in Guangdong Province of China: Achievement, Issues and Recommendations. Department of Environmental Science, Sun Yat-sen University, Guangzhou, China. 29 th Annual Conference of the International Association of Impact Assessment. 73

74 Appendices Appendix A Coding of transcription Interview with Mengzhou hydropower station leader and EPB At the conference hall of Mengzhou hydropower station Translator: Prof. Luo Shiming 21st of May, 2013 When How Who 0:20 Mengzhou hydropower station leader: In 2003 the company in charge of the hydropower station, their EIA report was not approved, because they did not have the water and soil conservation content in the report. We (Shouguan energy company) became the new investor and we made a new EIA report, finished in In 2009 we got the permission to operate. However we started operating at 2008, one year to early, and they (the responsible) got fired. 4:10 Question: What company was hired to conduct the EIA? Mengzhou hydropower station leader: Institute of resources protection of pearl river, the institute also conducting the EIA at Nanzou hydropower station. 5:25 Question: Do you have any measures or actions to protect the water environment? Mengzhou hydropower station leader: Yes. Preventing the oil leaching. Also garbage and wastewater generated from the community here has to be treated before it can be released 74

75 6:40 Question: When was public participation included in the EIA process? How and who was included? Mengzhou hydropower station leader: We asked the stakeholders through this table (table is shown). The tables were filled by the bureau of land management of Shauguan, the agricultural bureau, bureau of water management, by individuals in the village of what their opinion is with the construction ( ). The agricultural bureaus gave some opinions to strengthen the dyke for example in order to raise its resistant ability to flooding Question: How are the individuals from the villages chosen? Mengzhou hydropower station leader: Randomly. We will post a description of the project in the village and on the web site and let everyone know that we are coming to their village and choose some of the persons to fill the table Question: So its completely random who is chosen? EPB: If they (licenced EIA team) choose some people not by random method they will get in trouble, because the method is wrong. They can loose their licence. We will also randomly check these persons (the people randomly chosen in the villages), through phone (their phone number should be applied in the document). We will ask them how they have been chosen. 11:44 Question: When was the public included? after the implementation of the project in 2008 or before? Mengzhou hydropower station leader: In 2009 after the construction was finished. The first announcement of the project was in 2009, the second announcement was one month later. When given the guidelines for public involvement, it is translated by the prof. LS: Which people were involved, how were they involved, the content of the table. They gave out 100 table and got back were from bureaus and 85 were from citizens. Only one person was unsatisfied. The 75

76 parameters that were asked for: Where problems mainly exist (water, soil, air, noise, solid waste), ( ) 71% said no problems exist at all, socio economic influence was very positive Question: Have you used methods such as group meetings? Mengzhou hydropower station leader: No 18:00 Question: How do you communicate with the fishers in regard to the opening of the gates? Mengzhou hydropower station leader: We directly call the fishers 19:00 Question: Some citizens were not happy with the project according to this paper. What happened to those people? Mengzhou hydropower station leader: We also go with the EIA team to the village, so if someone is uncertain about the project, we will explain it to them. If they really are talking about some week points, then we will accept the idea and include it in the report, how to include it. 20:25 Question: Did you have to make some improvements after the negative opinions? Mengzhou hydropower station leader: Yes. For example one of the objections came from citizens complaining about their drinking water coming from very shallow wells, where the water usually is very clean. However after they (the developer) built the dam, the water table rose quickly and the water quality in the well got bad. So we accepted the opinion and duck a very deep well for them. So the villages are now satisfied with it Question: What about the water table control? Mengzhou hydropower station leader: It is all controlled by the bureau of water management for the flood control. No matter how bad is will affect the economic return of the company they must obey the standards set up (by the bureau of water management) 76

77 22:30 Question: Are you following guidelines in regard to the inclusion of public participation? EPB: We are following provincial guidelines. We (Probably meaning China as a country) both have national and provincial guidelines, but the provincial are much stricter then the national one. 77

78 Appendix B Coding of transcription Interview with Yizhou hydropower station leader and EPB At the conference hall of Yizhou hydropower station Translator: Prof. Luo Shiming 20th of May 2013 When How Who 0.00: EPB: After the project has been finished, they also have to (make) a follow-up assessment, usually for soil and water erosion. It will be after five years for hydropower stations ( ) have the environment improved or has it been worse? 1.17 Question: Is it made public? EPB: No, it s an internal report 1.30 Question: What about the environmental impact assessment report? Is that made public? EPB: Yes 1.50: Question: Is it difficult? EPB: Ooohhh.. it is the most difficult part, because according to the requirement all affected areas must have the report posted ( ). Now the publics is (more) aware of the environment many of them will (therefor) say no to the project, so it makes it (the report) very difficult to get passed. ( ) 78

79 Even some of the people surrounding the project (the citizens affected by the project) will come say, even after the project has been set up, that the project(leaders) has not announced the environmental assessment report. So they take you (project leaders) to the court. They (the project leaders on the dam) have met some of these cases. Most of the cases have been won (by the project leaders), because they already posted the report to the nearby villages. Some of the people just want to win a case and get more compensation Question: Where is the EIA procedures taken from? EPB: The EIA law 3.50 Question: How is the EIA report shown to the public? EPB: They can post it in the newspaper, in the village, also in the web. They mainly do it in two ways: government web side and in the village community Question: Is it a summery of the EIA Report or is the whole report that is shown to public? EPB: It s a summary announced in the village site. And we say to them if they want, they can view the summary report at government web site also ( ). If they want to se the whole report, they can apply for it and they will usually be allowed to see the whole report Question: Do people apply for this report normally? EPB: Yes some do Question: Was the EIA report made public? EPB: At that period they were not required to make a public announcement. But from 2007 they required ( ) so they did. 14:30 79

80 Question: That is four years after the environmental assessment law? EPB: After the law has been published many people (licenced EIA companies) do (include public participation), but in different ways. Some have a presentation to give the public, some just post it (on the internet). Some people don t even like the public to know the situation. So in 2007 we had very restricted requirements to get the public included. It s a very formal top/down way Question: Is it the SEPA guidelines? EPB: Yes Question: What impacts have this project had on the fish population? Yizhou hydropower station leader: Because the project affect the fish production, we are required to raise fish fry to release in the river. We have already raised about Yuan to set up fish fry raising stations. It s very helpful for the fish population of this area Question: Was this made due to public participation? Yizhou hydropower station leader: no, according to the design (...). But we have however asked the public from the surrounding area about the hydropower plant and 100 % of the interviewers said that they are satisfied of relatively satisfied with the project Question: So this survey is outside of EIA procedures? Yizhou hydropower station leader: No. Last year the provincial government required all hydropower plants to write a report on if they have implemented all the required environmental protection measures and public participation methods. So in 2007 we sent this out. You will not be allowed to operate if you have not completed all these requirements. We also made wastewater treatment to protect the water ( ). 22:25 Question: How was this survey (public participation survey) made? 80

81 Yizhou hydropower station leader: We have issued a table and asked the opinion of the villagers down- and upstream. Each village is around 20 people. 100 % of the interviewers said that they are satisfied or relatively satisfied with the project. No one was unsatisfied Question: If they (the public) were unsatisfied (with the hydropower plant), what could happen then? Yizhou hydropower station leader: For this assessment we contacted 100 persons in different villages. The table contains a brief description of the project and then are 6-7 different questions about the noise, the fishing, the pollution and other things of their concern and then we ask what other opinions do you have for improvement, and finally we aske: are you satisfied, relatively satisfied, unsatisfied, very unsatisfied. If they say unsatisfied, then we will see if its caused by the environmental issues ( ). Sometimes they say that they are not satisfied, however it might be caused by flooding from the weather rather, than this hydropower station, so we will reject this opinion. Even if only one person say I m not satisfied and it is caused by this dam for example, then we will try to see if we have taken good enough measures to overcome this problem( ). And this document was posted on the internet for 10 days Question: Who were these 100 persons from the villages? Yizhou hydropower station leader: We ask the village leaders and they will contact the people in the village what their opinions are. It is up to the village leaders how to talk with the people living there. The village leaders can be anyone depending on who the village think is the best. 27:30 Question: How is the safety of the fishers after the implementation of the dam? Yizhou hydropower station leader: They usually fish at night and go to the market in the morning. Sometimes when we open the gate at the hydropower station, suddenly drags the net, endangering the life of the fishers. So we are required to have a direct hot line to call them. But according to the procedures we are not required to call everyone, just the township government and they will go through the fishers village and then the village leader will tell every fishermen. Sometimes we have already opened the gate and the fishers cannot get the message. Now we have 81

82 got a loud speaker to tell them that the gates are opening ( ). And during flooding the secretary will stand at the dyke and ask everyone (the fishermen) to go out (leave the lake) and he (the secretary) will be the last one to leave. So the people upstream and downstream are quite happy with the operation methods now. We have also set up an automatic SMS system to the cell phone for each fisher. We have an automatic rainfall gauge, so when the rainfall is up to the set point for to much, we will send a message to the central station (telephone company) and they will send a message to each one of the fishers. We just began this system last year, so it not very well set up yet Question: How do you choose what villages to address in regard to the project? EPB: Usually we choose the most sensitive areas within 3 8 km downstream and up stream of the dam, according to how big the dam is. 82

83 Appendix C Coding of transcription Interview with teacher Sophie from Zhongshan University EIA-team In car Translator: None needed 27th of May, 2013 When How Who 0.00 Question: Can you describe for me, in detail, the three times public participation is included in EIA process? Teacher Sophie: Ok, the first is when the owner of the project makes sure which construction corporation (is) to do the project. After that, in ten days, they make a notice for the public, in any form. There are no specific guidelines for how to make this notice. You can make an advertisement in the (news)paper, on the internet or just make a notice around the village. The notice contains: what is the project (description of the project) and the contact information about the owner of the project and the construction company ( ) and also about what the impacts are on the environment. Also if the project is related to land acquisition, which means that your house should be relocated, then how to compensate you (the people) ( ). So if you have some advice or want to reject that (people that reject to be relocated), then they can contact the owner Question: So if the people don t complain, what will happen then? Teacher Sophie: But before that ( ) the government will acquire the land from you and compensate you. So its just information of how they will compensate you. 83

84 5.15 Question: So the government will overtake the area and then they will allow the developer to build on the land? Teacher Sophie: Yes. ( ). So this is the first (time of public participation). The second (time of public participation). is the EIA is done by a company hired by the developer 5.45 Question: it s you (the EIA team)? Teacher Sophie: Yes. We will complete the EIA and give a report to the government. They check the report if it meets the needs. And before that, before we give it to the government, we will make a public notice. This is the public participation. We give it in any form Question: In the same way as the first time? Teacher Sophie: Yes. But the information should be more specific on the environmental impact and what measures that will be taken to protect those kinds of impacts or to reduce those kinds of impacts. ( ) If there is any risk to the public (from the impacts). ( ) usually the risks are acceptable and we write it in the report Question: How do you conclude it is acceptable? Teacher Sophie: We have procedures and rules. During the EIA we will have many mathematical models to predict (the impacts) ( ) and then we compare them with some standards. If its ok, then its ok, if its not ok, then its not ok. Now a days if the project will produce hazardous materials the public will protest Question: How do they complain at this stage? Teacher Sophie: They complain to the government but they must make sure that the approval rate of the public is above a certain percentage

85 Question: Ok, so before this second public announcement, you ve been out to the public with documents to sign. Teacher Sophie: Yes Question: Ok, maybe you have already answered my question, but in regard to the approval rate, how do you ask people if they approve or not? Teacher Sophie: We give them an answer sheet Question: How high should the approval rate be normally? Teacher Sophie: I don t know exactly. Let me get back to you with that Question: So when you go out with this answer sheet, it is between first and second announcement? Teacher Sophie: Between first and second announcement yes. Because this a part of the report that will tell the government what the approval rate is ( ) The third time is by the government. The government will take the report and they will check and they will make a notice. And they will let the public that if they have any opinion they can contacts us (the EIA team) Question: So during the second announcement you actually almost have your EIA report? Teacher Sophie: Yeah, its almost finished Question: What if the public point out something that actually is not good. What will happen then? Teacher Sophie: Many times they just misunderstood. They just think its not good. Then we will contact them and make some explanation. And in the report you have to put in all the opinions of the public whether you will reject or you will accept their opinion

86 Question: Ok, it has to be in the report? Teacher Sophie: It has to be in the report. Both their opinions and why we think its ok or why its not ok, and the reasons for this. And you should make a document for all the answer sheets. Sometimes the government will check that (how people have been chosen to be asked for approval). Because sometimes they wont do the public participation, because it just waste of time and money, and sometimes the answer sheet are just filled by them selves (the developer or company benefitting from this). If they (the government) have the answer sheet, they also have the telephone numbers and so they can call and ask Question: So to make a resume of what you have told me. First time (of public participation) the owner hires a construction company and they make a little report about the project Teacher Sophie: No they don t make have to make a report, just some information Question: Ok and then they put it up on the village site or other places, there are no guidelines for this. And then they hire you Teacher Sophie: Yes Question: And first you do what we have done here, check the site and reading regulations Teacher Sophie: Yes Question: And then you go to the villagers and tell them about the project with a sheet they have to sign Teacher Sophie: Yes Question: And then you get the approval rate. And then you post a more fulfilling description on the village again and you send it to the government also Teacher Sophie: Yes. We actually finish the report and then we send to the government 86

87 21.10 Question: So its actually the final EIA report, but they (the government) have to approve it and when they approve it then the EIA process is finished? Teacher Sophie: Yes Question: Ok. But for example the third time the government put this (the description of the project) up (on the village) then you have made a whole report actually, but they only put a little description of the project up, so they can call in and ask for the full report as you said Teacher Sophie: Yes Question: How long does the EIA process normally take? Teacher Sophie: At least two or three months. Sometimes it take about half a year Question: Ok, and do you use guidelines for the inclusion of the public? Teacher Sophie: Yeah there are guidelines and regulations about the how to do the EIA. Very specific rules how to check the sites, what kind of information you have to collect, how to measure the air and the water Question: So what guidelines do you use for public participation? Teacher Sophie: It depends on the case Question: So depending on what type of construction you are working with its different how the public are included. Teacher Sophie: Yes there is guidelines for different cases on who should be included. About the water, about the air, about the sound and about the soil and about the underground water. They have different guidelines on what areas should be taken into consideration for public participation. 87

88 26.30 Question: Are these guidelines mandatory to use? Teacher Sophie: In the practical work, the sphere of influence of some projects are hard to determine, different situations may have different practices, the guidelines are just for reference, it is not mandatory Question: Does provincial guidelines and standards exist? Teacher Sophie: If the province wants to make standards, they must be stricter than the national standards. So if a province has its own standards, you have to use those Question: And it s the same with the guidelines? Teacher Sophie: Yes. But usually there are only national guidelines. 88

89 Appendix D Coding of transcription Interview with teacher Mai from Zhongshan University EIA-team At the faculty of Tropical and Subtropical Ecology at South China Agricultural University Translator: Prof. Luo Shiming 8th of June, 2013 When How Who 0.00 Question: What laws and guidelines do you use in your work with EIA? Teacher Mai: First one is Environmental Protection Law ( ), the second one is the Environmental Impact Assessment Law, the third one is the Regulation for Construction Projects and Environmental Assessment. Two law and one regulation are the most important. Under that are the specific laws on water and air pollution, for noise, and for pollution control, and for cleaner production, for circular economy 4.50 Question: For example for hydropower plants, what specific laws and regulations do you work with? Teacher Mai: Water pollution prevention, water conservation law, law for fishery. The law and the regulations can be divided into four areas. The highest level is the law set up in the country level, the second is the law for very specific areas such as water, the third one is the local regulations for the area, the fourth one is regulations set in the university. ( ) not mandatory Question: What laws and guidelines do you use in your work with PP in EIA? 89

90 Teacher Mai: There are three laws and regulations related to PP in EIA. The first one is the Environmental Impact Assessment Law. There is a statement that there must be some procedures on public participation. The second one is by the Ministry of Environmental Protection around This is regulating on how involve the public in EIA. But one year later in Guangdong province they also published detailed regulations on public participation in Gunagdong province Question: So how does the provincial regulations refine the work with public participation? Teacher Mai: The main requirement in Guangdong regulation includes that 70% directly affected people should be included in the public participation process. Secondly 70% of the institutes or units or factories should be included. So the first 70% is for individual, the second 70% is for units. The regulation also specify to announce the results of EIA, how many days is should be published and so on in a more detailed way Question: Can you describe these details? Teacher Mai: As soon as we have received this project, we have to tell the public that we now have the project. This announcement must be published for 10 days before the actual EIA begins. ( ) after we finish the EIA, the most important results also must be put forward for the public for at least 10 days. One in is before and one is after. So only 10 days after the announcment of the results then you can conduct the interview for the 70%. Because we assume that after these 10 days all affected public already know and then you can begin to ask them. ( ) The reason why we have to hear the public is that we have to revise our initial planning because for example the subway system in foshan city just got published the EIA results, now many public ideas come in ( ) so some of the public said that why is the railroad not in the ground? ( ) so it is at the city government now and they can almost not hold the original idea of planning. So they may have to have some revision. So that s why they have to get this announcement. Because after they receive the public ideas and opinions they have to revise the original design. Now after they receive all the ideas from the public they will give these ideas to the clients, the original project owner, so they (the owner) will revise it. So they (the EIA team) are a third party. The government is the first party, the public the second. Both have some interests in the project So they (EIA team) just get the feedback from the public, and give it to the owner and they (the EIA team) will revise it and assess 90

91 it again and also tell the public. ( ) another example, one time a highway go through a village where there is a lot of tombs of there ancestors, so according to their believe it will disturb them so the village leaders they are strongly against the highway can go so close to this place, so they (EIA team) very carefully listened to the ideas and discussed with them about alternatives and then find that if they push it a little bit away, about 200 meter away, the villagers will accept. So they (EIA team) talk about this with their client, the owners of this highway construction, and the owner was also very satisfied with this Question: So the opposite scenario, if these people do not agree on the solution. What will then happen? When can you lawfully approve the project in cases of disagreement? Teacher Mai: If the owner of the project and the public disagree then the whole project will not get approved Question: So what if only 5% disagree and 95% agrees? How many people has to agree before the project can be approved? Teacher Mai: ( ). Another case. It s a bridge across two counties. All the money will be paid by one county. However some of the villagers at the other county have to move away so they are against to construction, because they are reluctant to move. After two years. So the government and they (the EIA team) get together with the villagers and they found out why the villagers did not agree. Because they did not get any specific compensations. So how to give them compensation? It should not be arranged by the paying county, it should be arranged by their own county. So they found out that their own county should get in talk with the villagers on more specific compensations. So in general if people disagree we have to listen carefully to what they are saying and then try the best to solve the concerns Question: So they will not be able to build this bridge if they have not sorted out with the villagers? Teacher Mai: Yes ( ) whenever we hear the negative voice against the project, no matter who, we will listen carefully and analyse what is the real reason they are against this project. So we divide them into two groups. Some of the opinions are very reasonable, that means that yes there are some 91

92 negative impacts on the environment so they have to improve something, so the public will accept. But maybe some other ideas is nonsense. Maybe for example the last project the think they did not get enough compensation for so they don t allow the next project to go on. So its not this project. So its not reasonable and we will reject the idea. So in general no matter if you are right or wrong we will respond to each one. But in general if there is still some people against this project, we will have a meeting, a conference, so the people against and agrees will get together, the government will sit there, the EIA person will sit there and talk and tell why. Even sometimes the public is still against the ideas, so in general if the percentage against the project is less than 5%, the to project can be approved. It is not something written in the law its experience. If its more than 5% its hard to get approved by the government Question: So when is the next step for public participation? Teacher Mai: So after we have settled all the different ideas, then the new design come out. So then there would have been finished all the EIA procedures, because all the ideas you have listened to and also considered and revised the design. So we will come to the final evaluation stage. So we will invite some experts from outside and the officials from the environmental protection bureaus, also the owner of the project, so they (the EIA team) will handle out the final EIA report and they will give some evaluations, so that it can be passed or not. And before the meeting we will already post a simplified version of the report for the villagers ( ) Question: How long is it possible for the public to se the simplified EIA? Teacher Mai: More than 10 days Question: What happens if some of the people at this stage still disagree with the project? Teacher Mai: In that stage the government will decide how to deal with this. The complaint will go to the government. They will have several choices. For example if it s a minor thing, then they will continue to approve, but maybe its very major things so they say ok, your (the owners) EIA team have to redo it (the EIA report) again. 92

93 39.00 Question: Can you explain the EIA process from beginning to end? Teacher Mai: After we receive the project from the owner, we will have our first announcement to the publics, then we will have some data collection, preliminary site observation and find out the sensitive points, which was what you participated in (during the fieldtrips). After that we will make an EIA outline, also a monitory plan, and a public participation plan. Then we will go to the sites to monitor the environmental parameters, also to investigate the possible influence on the ecological environment. And after that we will have internal writings and the preliminary conclusion, and then publish that to let the public know the preliminary results, so if there is some conflicts, like we talked about, then we will have a meeting or a conference or hearings. So after we collect all the different ideas we will further optimize or revise the planning and after that we will form the final report, which will go to the government. The government will organise the evaluation of the project. Before the final approval, the government will get the report published. If there is some objectiong the government will decide what to do Question: Can the public contribute with idea during the first public participation step, before the EIA actually begins? Teacher Mai: Yes we have the contact information on the describtion of the project Question: Do people contact you during this step then? Teacher Mai: Yes. Many times we also have this situation that the first announcement to the impacted areas, we not even get to the office before people call in, because this project might have been evaluated by another agency before, so the public already know something about that and they already have some idea against it Question: Can you use some of the information you get from the public at this stage then? Teacher Mai: Usually the public will suggest to the owner to cancel the project. ( ) There is another case. There is a building with residents and the owner want to build some restaurants below the apartments which will affect the residents here. So this EIA has been done by another institute, 93

94 so after this new EIA team comes, the public already know that according to the regulations and laws there should not be build this kind of restaurants, because the smell, smoke and noise will be very bad to the environment of this place Question: During the work with EIA have you experienced the public participate more than they used to do? Teacher Mai: Yes. The property law was pubished 5 years ago, around This law very clearly protect the owner. So after this, people are more sensitive to the influence of their assets Question: Is there a monitoring phase after the EIA is finished? Teacher Mai: Yes. During the construction period and after the construction have been finished Question: Can the public be included in the monitoring phase? Teacher Mai: Yes, we do also listen to the public opinions at this stage because sometimes during the construction process we do not observe the environmental protection plans all the time and sometime the design is not very good. So no matter what situation we will listen to the ideas of the public and those ideas will be handed to the government and the government will conduct a conference to listen to the public and find out who is responsible for these problems. Is it on the design stage or the EIA stage or on the construction stage Question: Are the public deliberately included? Or is it the public that has to contact you? Teacher Mai: At this stage we passively accept ideas from the public. Not invite them to participate. However we usually tell the construction side that they have to carefully listen to ideas from the public and coordinate the construction to reduce noise, so they don t do it at night for example

95 Question: I have noticed that you use questionnaires for getting the opinions of the public. Is this the only method used? Teacher Mai: Yes. According to the procedures we are required to get this information from the questionnaires Question: What law or guideline makes it mandatory to use these questionnaires? Teacher Mai: According to the provincial regulation. ( ) One important point in regard to monitoring is that only after one year of monitoring the operation of the construction will the owner receive the formal licence to operate. And only if all environmental indexes are ok. If the indexes are not ok, the project will be monitored until all the environmental indexes has been met Question: In regard to these 70% of the public from the sensitive areas that had to be included, how do you determine who to include? We visited a fishing village impacted by a dam. They were not included in the public participation part. Teacher Mai (after the professor describes the story about the fishers): I think there are two mechanisms. One is that since we are not the owners we should not avoid the most sensitive parts of the publics. The second one is that it is now required the public involved must have their names and there telephone numbers so anyone can be called and see if they have already been contacted and listen to their ideas. So it ensures that 70% of the public will be randomised and include the most sensitive groups Question: Is it the EIA team that chooses the 70%? How do you determine what village to include? Teacher Mai: Yes Question: How does that work in practice? Teacher Mai: For example, in the highway construction, the most sensitive group will be according to the distance, the closer the more sensitive, the second on is the scale of the village, if it s a big scale, then it must be included. The third one is those who their house have to be removed 95

96 or the land has to be occupied. So according to these three factors we will decide what we call the core public groups. It s the most important groups Question: So you include the most sensitive areas. Teacher Mai: Yes Question: Maybe you cannot answer my question, but why do you think the fishing village, which was a very sensitive area, was Not included then? Teacher Mai: The main thing is that it happened very early in the mid 90 s and at that time public participation was not included. Another thing is that the EIA was done after the construction was finished. So it s a kind of not very formal EIA process. So its difficult to observe the necessary EIA procedures on this case Question: Are NGO s sometimes involved in the EIA process? Or have you experienced NGO s in EIA related work? Prof. Luo Shiming: As I know several NGO s in China are very active. ( ) For example one of the rivers of southwest China go through Yunnan to Burma and it s the only river to day that have no hydropower stations. So the government announced a program eight years ago that they wanted to make a dam but the publics and especially the NGO s were very actively against it. So after eight years it is still not made Question (addressed to the EIA team): So have you experienced NGO s in your work? Teacher Mai: No we have not. The public arrange it by them selves, not through NGO s Question: Do the complaints from the public sometime get a lot of attention from the media or other channels? 96

97 Teacher Mai: Yes many times. To much now. Sometimes even ourselves become a person in the newspapers. For example one of the highway systems we do the EIA for. The person in charge of the EIA of this project now has become a person in the newspaper, because he got so many complaints. So now he is in trouble Question: I am going to Tibet the next half a year to do exactly the same I am doing here. On hydropower stations. ( ) What sort of differences do you think I can expect going to Tibet in regard o the EIA procedures there and the inclusion of the public? Teacher Mai: The area of Tibet is a very sensitive area in terms of ecology and environment so the central government very strictly control the the construction projects there. Even now only few project can be approved. Often all of the procedures are as here, however the number of projects are very few Question: is it due to Strategic Impact Assessment that few constructions are allowed in Tibet? Teacher Mai: Yes they have to have a regional planning and set a limit for how much pollution is allowed Question: Do you have any other recommendations for me in regard to my investigation of EIA in Tibet? Prof. Luo Shiming: Must of the Tibetan people are very religious. Budism is very popular in that region. And also the religions see the mountains as sacred, they cannot be destroyed. Also they see the trees and the rivers as part of the gods, so they have a deep respect to the nature according to their religion. So that is one of the very important cultures there, they protect the environment. So I think if you can talk with the people about their attitudes toward the nature I think that is the base of the behaviour of the people. Rather than the government regulations. 97

98 Appendix E Coding of transcription Interview with two fishermen families at Lishi fishing village Translator: Prof. Luo Shiming 21 May 2013 When How Who Fishing family A 0.45 Question: When the dam was build, did you talk to any people from the dam? Fisher: Yes two times. On about the compensation for the house the other was compensation for the vegetables grown around the house Question: what year was that? Fisher: Many years ago. I cant remember. Before the building of the dam began Question: Who contacted you and how many times where you contacted? Fisher: I have met them 3 times where we have discussed about the compensation. Two persons came, but I don t know where they came from. 98

99 Fishing family B 1.00 Question: Before the construction of the dam, were people (government, EIA team, construction company) send to this place to talk with you and hear your opinion about the project? Fisher: Yes they came. To hear about compensation. There were no room for discussion, only about if I agreed of not Question: How many times have you been contacted by these people and who were they? Fisher: The persons that came here, one was from the dam, one was from the township government. The two persons came together one or two times. They talked about the compensation for the fruit trees ( ). First time they came here, they also talked about building dykes along the area to protect soil, but this got not implemented ( ) Question: Did they give you compensation for the house? Fisher: They did not give compensation for this house, because it is placed higher than one meter above the water level. Only those (houses) lass than one meter from the water level will get compensation Question: What year did the people from the government come? And how did they present the project for you? Fisher: During the construction time three times with one month interval. For compensation they have a form for legal negotiation. ( ) they set a standard according to how many trees you have and vegetable planted and then you get compensation according to that. So there is no room for negotiation Question: So is it just a matter of signing the papers? Fisher: Yes 99

100 8.25 Question: Did they only come in regard to the compensation? Fisher: Yes. If they had asked about our opinion we would have liked to discuss the building of a dike around the area or a harbour to protect our boats from heavy rainstorms. But they did not do this. They did not talk with us in detail about the project. Our opinion were not considered. We feel very sad about this Question: Was a description of the project posted here for you to see? Fisher: Nothing was posted here. They only came and talked about compensation Question: Have you talked with other fishers about these problems? Did they experience the same problems? Fisher: In order to talk with the construction site, we selected tree persons and we have complained and now maybe they will raise the compensation level. There are still a lot of conflicts. The three representatives sign an agreement for the building of dykes along the river. But we don t know what is the reason, but one or two years later, they changed the whole plan. The houses build as compensation for other fishers are also in bad shape. So we called for television to show this and the government fixed the reconstructions of the houses Question: Did you have contact with other villages around here, not fishing villages? Fisher: No 100

101 Appendix F Coding of transcription Interview with village leader Xiao Rong at Beiwai village Translator: Teacher Sophie 18 Juli 2013 When How Who 0.30 Question: What does your work consist of as a village leader? Village leader Xiao Rong: My work is as the leader of the village. I don t work in an office, but I have to manage the village, to keep the village clean and safe so people can be happy. Sometimes we also have meetings in town where information is given by the government. Also I have to know what the villagers want, so I have to be available to them during the day. Many questions concern the agricultural land, which the village owns. ( ). The young people of the village go to the city to earn money while the old people stay home and take care of their grandchildren. So my work often is about listening to the old people what they want Question: How many village leader are there in this village and how many residents? Village leader Xiao Rong: about 400 resident and I am the only village leader Question: How long have you been a village leader for? Village leader Xiao Rong: 5 years. This is my second term. Each term is 3 years. 101

102 4.50 Question: How do you get selected as a village leader? Village leader Xiao Rong: We have election 5.30 Question: What kind of work does the villagers in this village work with? Village leader Xiao Rong: Some do business in the city and some are farmers. Most of the villagers have regular job in the city not far from the village and come home each evening. People here just want to have a happy life Question: What is the economic situation among villagers of this village, compared to other villages? Village leader Xiao Rong: It is middle. Not to rich, not to poor. But 90% have their own house. People here are content with their lives Question: What negative consequences will the construction have on the village and its surroundings? Village leader Xiao Rong: We prefer to have the highway here. Its more convenient. We don t think it will affect our lives very much. The noise and the air pollution is acceptable because of the location above the village. Before, when the construction was planed to be build elsewhere, we were very much against it, as the pollution would be more (severe) and the noise as well Question: What is your professional background? Village leader Xiao Rong: I am graduated from primary school, but I am now studying senior school Question: Now that the EIA process is finished, do you still talk or keep in contact with the construction company or the government or other actors related to the highway? 102

103 Village leader Xiao Rong: No Question: Can you describe the inclusion process, starting from the beginning? Village leader Xiao Rong: We knew something from the government in the beginning. But we did not know what exactly it was, where it would be built and how and other details of it was never mentioned. We first knew the details, when professor Zhang (from Zhongshan University EIAteam) came to the village and told us of it - where it was planned to be built. She asked us of our opinions Question: How where you notified by the government the first time? Village leader Xiao Rong: They came and told me about the project and told me that the governments website had information of it and that other people would came and tell me of the project later Village leader Xiao Rong: We got the detailed information from professor Zhang, when she visited us. Then I had a meeting, with all the villagers, to tell them about the project and give them a map (of the location of the highway supplied by professor Zhang). The first thing the villagers cared about was land acquisition and how would they be compensated for that. Because the government had to have 2/3 of the villagers approval before they can make land acquisition. The villagers thought that the highway was to close to the village and would also destroy our mountain where many of our ancestors live (would result in bad fengshui). So I told professor Zhang and then she proposed another solution some days later where the highway was at another location. I thought this was good. Professor Zhang then came to our village again with questionnaires and all people agreed with that. So now the distance is changed 200 meters and does not go over our mountain. We are very happy with the solution Question: Where you happy with the information given to you by professor Zhang and also on the questionnaire? 103

104 Village leader Xiao Rong: Yes Question: Are there any other conflicts going on? Village leader Xiao Rong: Not now, but the negotiation on the compensation for the land acquisition has not begun yet. But I think there will not be any problems. The government will also consider if the villagers need other government support, so I think the government will give a good price. ( ) Question: Has there been any information about the project put up in the village at anytime? Village leader Xiao Rong: Yes when professer Zhang came, we put information up in the village. Also after professor Zhang was here, the government came to me and asked me to put some information about the project up on the village. It was information about the project, how the final construction would be Question: Have you downloaded the simplified EIR? Village leader Xiao Rong: Yes I have. It was important to see what the final result of the project was, and if they had listened to us and added to the project the demands we had. They had Question: Are you satisfied with the EIA process? Village leader Xiao Rong: YES Question: Did you have contact with the government or the construction company or this EIA-team other time than during the time where the questionnaires were given? Village leader Xiao Rong: No I did not. 104

105 Appendix G Interview Guide Interview with EIA-team from Zhongshan University. At South China Agricultural University 9 June 2013 Regulations: 1. What laws and guidelines do you use in your work with EIA? Are these mandatory? 2. What laws and guidelines do you use in your work with PP in EIA? Are these mandatory? EIA: 1. Can you describe in details how the EIA process is normally done, starting from the beginning. Herein when the public is included? (Notification before PP) 2. What happens in the meantime between you get hired by the owner of the project and you go out with the document to the public? 3. When does to public know that you are hired to conduct the EIA. As to contact you with questions regarding the project. 4. How long time goes between the field trip and contacting the public? What happens in the meantime? 5. What happens after the EIA process? Monitoring? Evaluation? Institutional strengthening? 6. Before you are hired to conduct the EIA, have the public been introduced to information about the project? 7. Before people are asked for their opinion through the questionnaire, have they been introduced to information about the project? Public participation: 1. When are the public included in the EIA process? How many times and when? 105

106 2. Before people answer these questionnaires, how have they been informed of the project beforehand? (Where can people read about the project and for how long) 3. Have you ever used other methods for inclusion than questionnaires? 4. What happens if one person complaints on the questionnaire? Is it mandatory to contact this person? 5. How do you determine what citizens that should be included in public participation during the EIA process? By guidelines? Legislations? Standards? 6. What should the approval rate be before a construction can be confirmed to be built? 7. Have their been official complaints about EIA decisions from individuals or organization? Is there a newspaper mentioning these EIA criticisms or have how have these complaints been publicised? Hydropower plants: 1. Have you ever worked with hydropower station? How does this EIA differentiate from other EIA works? Standards? Regulations? Laws? Guidelines? 2. How do you know who to include? 3. Why do you think the fishing village was not included? Other questions: 1. Are NGO s sometimes involved in the EIA process? Tibet: 1. Do you know anything about EIA in Tibet? 2. Do there exists differences in the practical work with EIA from province to province? 106

107 Appendix H Interview Guide Interview with two fishers At fishermen village 21 May 2013 Presentation: 1. Present your self. Age, how many people in the family, work, how long lived here, How long do you work per day etc? 2. Has the life of your family changed since the construction of the dam? In what ways? Public Participation: 1. Where you aware of the construction of the project? I. If yes: How? Who contacted you? When (Scope, EIR/Review) (Date?)? II. If no: Have you tried to contact them? What have you done to try to participate? What would you have said if you participated? 3. Did you find it easy or hard to participate in process? Why? 4. Did your minds change about the project, once the project was implemented? 5. What should have been done, if any, to include you better in the process 107

108 Appendix I Interview Guide Interview with hydropower stations At Yizhou and Nanzhou hydropower station 21 May 2013 Presentation: 1. Can you describe the construction period of the hydropower station? When did it start, when did it end? 2. How long have the hydropower station operated? EIA: 1. Have you commenced an EIA? Can you describe the process? Public Participation: 1. Did you include the public in the EIA process? 2. How? Who? When? 3. Could you use any of the suggestions from the public? 4. Was it easy or hard to include the public? 108

109 Appendix J Interview Guide Interview with village leader At 17 Juli 2013 Background: 1. (Can you present yourself and your village?) 2. What is your name? 3. What do you work with? 4. How many people do you represent? 5. What is your primary task in as a village leader? 6. How long time have you been the village leader? 7. How did you get selected to become the village leader? Village: 1. What is the name of the village? 2. Where is the village located in Guangdong province? In what city? 3. How many people live in your village? 4. What kind of work do the villagers work with? 5. How much money do the people in the village earn in average? (is that a lot compared to else where? The project: 1. Can you describe the project? 2. What do you think is the main reason for the construction of the project? 3. What negative consequences have the project had for your village? 4. What positive consequences have the project had for your village? 109

110 5. What is the attitude toward the construction now that it is finished? Do you keep in touch with some of the people related to the construction? Would you like to get more information from the construction on a regular basis? 6. Did the construction company initially know about the cemetery? 7. Did you or the residents of the village participate in the construction of the project and now the operation and maintenance of it? And do you help toward mitigating or monitoring the impacts from the construction? PP in relation to the frame: 1. Can you describe in details how you experienced the inclusion process, starting from the beginning? 2. Can you explain when you were included in the EIA? (How many times?) (Information 10 days prior to PP2) 3. Where did you first get the information about the project from? And during the project? How did you hear about it? Were you satisfied with the information? 4. When did you last hear about the project? How did you hear about it? Where you satisfied with the information? 5. Can you explain how you were included in the EIA? (the meeting with the EIA-team) 6. Do you feel that you and your village had good opportunities to have your voice heard? Why? 7. were you satisfied with the questionnaires given? Do you think all consequences for your village were accounted for in this questionnaire? What changes do you think should be made to the questionnaires to make them better? 8. Can you explain the process of how you deliver the questionnaires to the public? 9. Did you experience any conflicts during the EIA process? Where these complaints addressed in a satisfactory way? 10. What actors have you been in touch with during the EIA process (government, construction company, EIA team)? For what reasons? Where they helpful? 11. Should the inclusion of your village be done differently? Why? How? Other ways of inclusion? 12. Were the citizens introduced to the project before they should answer the questionnaires? 13. Did you apply for the simplified EIR? Could you use the information there? 110

111 Appendix K Basic principles of Environmental Impact Assessment (International Association of Impact Assessment 1999: 3) 111

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